0000743316-19-000015.txt : 20190529 0000743316-19-000015.hdr.sgml : 20190529 20190529165029 ACCESSION NUMBER: 0000743316-19-000015 CONFORMED SUBMISSION TYPE: SD PUBLIC DOCUMENT COUNT: 2 13p-1 1.01 20181231 1.02 20181231 FILED AS OF DATE: 20190529 DATE AS OF CHANGE: 20190529 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: 0629 FILING VALUES: FORM TYPE: SD SEC ACT: 1934 Act SEC FILE NUMBER: 001-34192 FILM NUMBER: 19862666 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 1 maxim-formsdxconflictminer.htm SD Document


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



FORM SD
SPECIALIZED DISCLOSURE REPORT



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, 2018.
 





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, 2018, 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 https://www.maximintegrated.com/content/dam/files/design/emmi/maxim-conflict-free-minerals-statement.pdf.

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, 2018. 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, 2018, 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 2018 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 29, 2019
 
 
                    
                            




























    


EXHIBIT INDEX






    
 EX-1.01 2 maxim-ex101xconflictminera.htm EXHIBIT 1.01 Exhibit

Exhibit 1.01

Maxim Integrated Products, Inc.

Conflict Mineral Report

For the Calendar Year Reporting Period Ended December 31, 2018

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. We are a global company with a wafer manufacturing facility in the U.S., testing facilities in the Philippines and Thailand, and sales and circuit design offices around the world. We also utilize third party foundries for manufacturing of our products. The major end-markets in which tour 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: https://www.maximintegrated.com/content/dam/files/design/emmi/maxim-conflict-free-minerals-statement.pdf.


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 2018 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.

On January 26, 2018, Maxim Integrated acquired a privately-held corporation specializing in the development of high-performance USB and video extension technology (the “USB Extension Products”). Revenue from the sales of USB Extension Products represents a small portion of our total revenue. We plan to include the USB Extension Products in the Maxim Integrated RCOI for 2019.




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 in 2018 CY
Gold
Advanced Chemical Company
UNITED STATES OF AMERICA
CID000015
RMAP Conformant
Gold
Aida Chemical Industries Co., Ltd.
JAPAN
CID000019
RMAP Conformant
Gold
Allgemeine Gold-und Silberscheideanstalt A.G.
GERMANY
CID000035
RMAP Conformant
Gold
Almalyk Mining and Metallurgical Complex (AMMC)
UZBEKISTAN
CID000041
RMAP Conformant
Gold
AngloGold Ashanti Corrego do Sitio Mineracao
BRAZIL
CID000058
RMAP Conformant
Gold
Argor-Heraeus S.A.
SWITZERLAND
CID000077
RMAP Conformant
Gold
Asahi Pretec Corp.
JAPAN
CID000082
RMAP Conformant
Gold
Asaka Riken Co., Ltd.
JAPAN
CID000090
RMAP Conformant
Gold
Aurubis AG
GERMANY
CID000113
RMAP Conformant
Gold
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
PHILIPPINES
CID000128
RMAP Conformant
Gold
Boliden AB
SWEDEN
CID000157
RMAP Conformant
Gold
C. Hafner GmbH + Co. KG
GERMANY
CID000176
RMAP Conformant
Gold
CCR Refinery - Glencore Canada Corporation
CANADA
CID000185
RMAP Conformant
Gold
Chimet S.p.A.
ITALY
CID000233
RMAP Conformant
Gold
DSC (Do Sung Corporation)
KOREA, REPUBLIC OF
CID000359
RMAP Conformant
Gold
DODUCO Contacts and Refining GmbH
GERMANY
CID000362
RMAP Conformant
Gold
Dowa
JAPAN
CID000401
RMAP Conformant
Gold
Eco-System Recycling Co., Ltd.
JAPAN
CID000425
RMAP Conformant
Gold
OJSC Novosibirsk Refinery
RUSSIAN FEDERATION
CID000493
RMAP Conformant
Gold
Heimerle + Meule GmbH
GERMANY
CID000694
RMAP Conformant
Gold
Heraeus Metals Hong Kong Ltd.
CHINA
CID000707
RMAP Conformant
Gold
Heraeus Precious Metals GmbH & Co. KG
GERMANY
CID000711
RMAP Conformant
Gold
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.
CHINA
CID000801
RMAP Conformant
Gold
Ishifuku Metal Industry Co., Ltd.
JAPAN
CID000807
RMAP Conformant
Gold
Istanbul Gold Refinery
TURKEY
CID000814
RMAP Conformant
Gold
Japan Mint
JAPAN
CID000823
RMAP Conformant
Gold
Jiangxi Copper Co., Ltd.
CHINA
CID000855
RMAP Conformant
Gold
Asahi Refining USA Inc.
UNITED STATES OF AMERICA
CID000920
RMAP Conformant
Gold
Asahi Refining Canada Ltd.
CANADA
CID000924
RMAP Conformant
Gold
JSC Uralelectromed
RUSSIAN FEDERATION
CID000929
RMAP Conformant
Gold
JX Nippon Mining & Metals Co., Ltd.
JAPAN
CID000937
RMAP Conformant
Gold
Kazzinc
KAZAKHSTAN
CID000957
RMAP Conformant


Gold
Kennecott Utah Copper LLC
UNITED STATES OF AMERICA
CID000969
RMAP Conformant
Gold
Kojima Chemicals Co., Ltd.
JAPAN
CID000981
RMAP Conformant
Gold
Kyrgyzaltyn JSC
KYRGYZSTAN
CID001029
RMAP Conformant
Gold
LS-NIKKO Copper Inc.
KOREA, REPUBLIC OF
CID001078
RMAP Conformant
Gold
Materion
UNITED STATES OF AMERICA
CID001113
RMAP Conformant
Gold
Matsuda Sangyo Co., Ltd.
JAPAN
CID001119
RMAP Conformant
Gold
Metalor Technologies (Suzhou) Ltd.
CHINA
CID001147
RMAP Conformant
Gold
Metalor Technologies (Hong Kong) Ltd.
CHINA
CID001149
RMAP Conformant
Gold
Metalor Technologies (Singapore) Pte., Ltd.
SINGAPORE
CID001152
RMAP Conformant
Gold
Metalor Technologies S.A.
SWITZERLAND
CID001153
RMAP Conformant
Gold
Metalor USA Refining Corporation
UNITED STATES OF AMERICA
CID001157
RMAP Conformant
Gold
Metalurgica Met-Mex Penoles S.A. De C.V.
MEXICO
CID001161
RMAP Conformant
Gold
Mitsubishi Materials Corporation
JAPAN
CID001188
RMAP Conformant
Gold
Mitsui Mining and Smelting Co., Ltd.
JAPAN
CID001193
RMAP Conformant
Gold
Moscow Special Alloys Processing Plant
RUSSIAN FEDERATION
CID001204
RMAP Conformant
Gold
Nadir Metal Rafineri San. Ve Tic. A.S.
TURKEY
CID001220
RMAP Conformant
Gold
Nihon Material Co., Ltd.
JAPAN
CID001259
RMAP Conformant
Gold
Ohura Precious Metal Industry Co., Ltd.
JAPAN
CID001325
RMAP Conformant
Gold
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)
RUSSIAN FEDERATION
CID001326
RMAP Conformant
Gold
PAMP S.A.
SWITZERLAND
CID001352
RMAP Conformant
Gold
Prioksky Plant of Non-Ferrous Metals
RUSSIAN FEDERATION
CID001386
RMAP Conformant
Gold
PT Aneka Tambang (Persero) Tbk
INDONESIA
CID001397
RMAP Conformant
Gold
PX Precinox S.A.
SWITZERLAND
CID001498
RMAP Conformant
Gold
Rand Refinery (Pty) Ltd.
SOUTH AFRICA
CID001512
RMAP Conformant
Gold
Royal Canadian Mint
CANADA
CID001534
RMAP Conformant
Gold
Samduck Precious Metals
KOREA, REPUBLIC OF
CID001555
RMAP Conformant in 2018
Gold
SEMPSA Joyeria Plateria S.A.
SPAIN
CID001585
RMAP Conformant
Gold
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
CHINA
CID001622
RMAP Conformant
Gold
Sichuan Tianze Precious Metals Co., Ltd.
CHINA
CID001736
RMAP Conformant
Gold
SOE Shyolkovsky Factory of Secondary Precious Metals
RUSSIAN FEDERATION
CID001756
RMAP Conformant
Gold
Solar Applied Materials Technology Corp.
TAIWAN, PROVINCE OF CHINA
CID001761
RMAP Conformant
Gold
Sumitomo Metal Mining Co., Ltd.
JAPAN
CID001798
RMAP Conformant
Gold
Tanaka Kikinzoku Kogyo K.K.
JAPAN
CID001875
RMAP Conformant
Gold
The Refinery of Shandong Gold Mining Co., Ltd.
CHINA
CID001916
RMAP Conformant
Gold
Tokuriki Honten Co., Ltd.
JAPAN
CID001938
RMAP Conformant
Gold
Torecom
KOREA, REPUBLIC OF
CID001955
RMAP Conformant


Gold
Umicore Brasil Ltda.
BRAZIL
CID001977
RMAP Conformant
Gold
Umicore S.A. Business Unit Precious Metals Refining
BELGIUM
CID001980
RMAP Conformant
Gold
United Precious Metal Refining, Inc.
UNITED STATES OF AMERICA
CID001993
RMAP Conformant
Gold
Valcambi S.A.
SWITZERLAND
CID002003
RMAP Conformant
Gold
Western Australian Mint (T/a The Perth Mint)
AUSTRALIA
CID002030
RMAP Conformant
Gold
Yamakin Co., Ltd.
JAPAN
CID002100
RMAP Conformant
Gold
Yokohama Metal Co., Ltd.
JAPAN
CID002129
RMAP Conformant
Gold
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
CHINA
CID002224
RMAP Conformant
Gold
Gold Refinery of Zijin Mining Group Co., Ltd.
CHINA
CID002243
RMAP Conformant
Gold
Umicore Precious Metals Thailand
THAILAND
CID002314
RMAP Conformant
Gold
MMTC-PAMP India Pvt., Ltd.
INDIA
CID002509
RMAP Conformant
Gold
Singway Technology Co., Ltd.
TAIWAN, PROVINCE OF CHINA
CID002516
RMAP Conformant
Gold
T.C.A S.p.A
ITALY
CID002580
RMAP Conformant
Gold
SAXONIA Edelmetalle GmbH
GERMANY
CID002777
RMAP Conformant
Gold
WIELAND Edelmetalle GmbH
GERMANY
CID002778
RMAP Conformant
Gold
Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH
AUSTRIA
CID002779
RMAP Conformant
Gold
Al Etihad Gold LLC
UNITED ARAB EMIRATES
CID002560
RMAP Conformant
Gold
AU Traders and Refiners
SOUTH AFRICA
CID002850
RMAP Conformant
Gold
Daejin Indus Co., Ltd.
KOREA, REPUBLIC OF
CID000328
RMAP Conformant
Gold
Emirates Gold DMCC
UNITED ARAB EMIRATES
CID002561
RMAP Conformant
Gold
Geib Refining Corporation
UNITED STATES OF AMERICA
CID002459
RMAP Conformant
Gold
Korea Zinc Co., Ltd.
KOREA, REPUBLIC OF
CID002605
RMAP Conformant
Gold
SAAMP
FRANCE
CID002761
RMAP Conformant
Gold
Cendres + Metaux S.A.
SWITZERLAND
CID000189
RMAP Conformant
Gold
HeeSung Metal Ltd.
KOREA, REPUBLIC OF
CID000689
RMAP Conformant
Gold
Italpreziosi
ITALY
CID002765
RMAP Conformant
Gold
Marsam Metals
BRAZIL
CID002606
RMAP Conformant
Gold
Planta Recuperadora de Metales SpA
CHILE
CID002919
RMAP Conformant
Gold
Safimet S.p.A
ITALY
CID002973
RMAP Conformant
Gold
SungEel HiMetal Co., Ltd.
KOREA, REPUBLIC OF
CID002918
RMAP Conformant
Gold
Bangalore Refinery
INDIA
CID002863
RMAP Conformant
Tantalum
Changsha South Tantalum Niobium Co., Ltd.
CHINA
CID000211
RMAP Conformant
Tantalum
Guangdong Rising Rare Metals-EO Materials Ltd.
CHINA
CID000291
RMAP Conformant
Tantalum
Exotech Inc.
UNITED STATES OF AMERICA
CID000456
RMAP Conformant
Tantalum
F&X Electro-Materials Ltd.
CHINA
CID000460
RMAP Conformant
Tantalum
Guangdong Zhiyuan New Material Co., Ltd.
CHINA
CID000616
RMAP Conformant


Tantalum
JiuJiang JinXin Nonferrous Metals Co., Ltd.
CHINA
CID000914
RMAP Conformant
Tantalum
Jiujiang Tanbre Co., Ltd.
CHINA
CID000917
RMAP Conformant
Tantalum
LSM Brasil S.A.
BRAZIL
CID001076
RMAP Conformant
Tantalum
Metallurgical Products India Pvt., Ltd.
INDIA
CID001163
RMAP Conformant
Tantalum
Mineracao Taboca S.A.
BRAZIL
CID001175
RMAP Conformant
Tantalum
Mitsui Mining and Smelting Co., Ltd.
JAPAN
CID001192
RMAP Conformant
Tantalum
NPM Silmet AS
ESTONIA
CID001200
RMAP Conformant
Tantalum
Ningxia Orient Tantalum Industry Co., Ltd.
CHINA
CID001277
RMAP Conformant
Tantalum
Solikamsk Magnesium Works OAO
RUSSIAN FEDERATION
CID001769
RMAP Conformant
Tantalum
Taki Chemical Co., Ltd.
JAPAN
CID001869
RMAP Conformant
Tantalum
Telex Metals
UNITED STATES OF AMERICA
CID001891
RMAP Conformant
Tantalum
Ulba Metallurgical Plant JSC
KAZAKHSTAN
CID001969
RMAP Conformant
Tantalum
Hengyang King Xing Lifeng New Materials Co., Ltd.
CHINA
CID002492
RMAP Conformant
Tantalum
D Block Metals, LLC
UNITED STATES OF AMERICA
CID002504
RMAP Conformant
Tantalum
FIR Metals & Resource Ltd.
CHINA
CID002505
RMAP Conformant
Tantalum
KEMET Blue Metals
MEXICO
CID002539
RMAP Conformant
Tantalum
H.C. Starck Co., Ltd.
THAILAND
CID002544
RMAP Conformant
Tantalum
H.C. Starck Tantalum and Niobium GmbH
GERMANY
CID002545
RMAP Conformant
Tantalum
H.C. Starck Hermsdorf GmbH
GERMANY
CID002547
RMAP Conformant
Tantalum
H.C. Starck Inc.
UNITED STATES OF AMERICA
CID002548
RMAP Conformant
Tantalum
H.C. Starck Ltd.
JAPAN
CID002549
RMAP Conformant
Tantalum
H.C. Starck Smelting GmbH & Co. KG
GERMANY
CID002550
RMAP Conformant
Tantalum
Global Advanced Metals Boyertown
UNITED STATES OF AMERICA
CID002557
RMAP Conformant
Tantalum
Global Advanced Metals Aizu
JAPAN
CID002558
RMAP Conformant
Tantalum
KEMET Blue Powder
UNITED STATES OF AMERICA
CID002568
RMAP Conformant
Tantalum
RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd.
CHINA
CID001522
RMAP Conformant
Tantalum
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.
CHINA
CID002512
RMAP Conformant
Tantalum
Jiangxi Tuohong New Raw Material
CHINA
CID002842
RMAP Conformant
Tantalum
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.
CHINA
CID002506
RMAP Conformant
Tantalum
QuantumClean
UNITED STATES OF AMERICA
CID001508
RMAP Conformant
Tantalum
XinXing HaoRong Electronic Material Co., Ltd.
CHINA
CID002508
RMAP Conformant
Tantalum
Asaka Riken Co., Ltd.
JAPAN
CID000092
RMAP Conformant
Tantalum
Jiujiang Janny New Material Co., Ltd.
CHINA
CID003191
RMAP Conformant
Tantalum
Resind Industria e Comercio Ltda.
BRAZIL
CID002707
RMAP Conformant
Tin
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.
CHINA
CID000228
RMAP Conformant
Tin
Alpha
UNITED STATES OF AMERICA
CID000292
RMAP Conformant


Tin
CV Gita Pesona
INDONESIA
CID000306
RMAP Conformant
Tin
PT Aries Kencana Sejahtera
INDONESIA
CID000309
RMAP Conformant
Tin
PT Premium Tin Indonesia
INDONESIA
CID000313
RMAP Conformant
Tin
CV United Smelting
INDONESIA
CID000315
RMAP Conformant
Tin
Dowa
JAPAN
CID000402
RMAP Conformant
Tin
EM Vinto
BOLIVIA (PLURINATIONAL STATE OF)
CID000438
RMAP Conformant
Tin
Fenix Metals
POLAND
CID000468
RMAP Conformant
Tin
Gejiu Non-Ferrous Metal Processing Co., Ltd.
CHINA
CID000538
RMAP Conformant
Tin
China Tin Group Co., Ltd.
CHINA
CID001070
RMAP Conformant
Tin
Malaysia Smelting Corporation (MSC)
MALAYSIA
CID001105
RMAP Conformant
Tin
Metallic Resources, Inc.
UNITED STATES OF AMERICA
CID001142
RMAP Conformant
Tin
Mineracao Taboca S.A.
BRAZIL
CID001173
RMAP Conformant
Tin
Minsur
PERU
CID001182
RMAP Conformant
Tin
Mitsubishi Materials Corporation
JAPAN
CID001191
RMAP Conformant
Tin
Jiangxi New Nanshan Technology Ltd.
CHINA
CID001231
RMAP Conformant
Tin
O.M. Manufacturing (Thailand) Co., Ltd.
THAILAND
CID001314
RMAP Conformant
Tin
Operaciones Metalurgical S.A.
BOLIVIA (PLURINATIONAL STATE OF)
CID001337
RMAP Conformant
Tin
PT Artha Cipta Langgeng
INDONESIA
CID001399
RMAP Conformant
Tin
PT Babel Inti Perkasa
INDONESIA
CID001402
RMAP Conformant
Tin
PT Bangka Tin Industry
INDONESIA
CID001419
RMAP Conformant
Tin
PT Belitung Industri Sejahtera
INDONESIA
CID001421
RMAP Conformant
Tin
PT Bukit Timah
INDONESIA
CID001428
RMAP Conformant
Tin
PT DS Jaya Abadi
INDONESIA
CID001434
RMAP Conformant
Tin
PT Karimun Mining
INDONESIA
CID001448
RMAP Conformant
Tin
PT Mitra Stania Prima
INDONESIA
CID001453
RMAP Conformant
Tin
PT Panca Mega Persada
INDONESIA
CID001457
RMAP Conformant
Tin
PT Prima Timah Utama
INDONESIA
CID001458
RMAP Conformant
Tin
PT Refined Bangka Tin
INDONESIA
CID001460
RMAP Conformant
Tin
PT Sariwiguna Binasentosa
INDONESIA
CID001463
RMAP Conformant
Tin
PT Stanindo Inti Perkasa
INDONESIA
CID001468
RMAP Conformant
Tin
PT Sumber Jaya Indah
INDONESIA
CID001471
RMAP Conformant
Tin
PT Timah (Persero) Tbk Kundur
INDONESIA
CID001477
RMAP Conformant
Tin
PT Timah (Persero) Tbk Mentok
INDONESIA
CID001482
RMAP Conformant
Tin
PT Tinindo Inter Nusa
INDONESIA
CID001490
RMAP Conformant
Tin
PT Tommy Utama
INDONESIA
CID001493
RMAP Conformant
Tin
Rui Da Hung
TAIWAN, PROVINCE OF CHINA
CID001539
RMAP Conformant
Tin
Soft Metais Ltda.
BRAZIL
CID001758
RMAP Conformant
Tin
Thaisarco
THAILAND
CID001898
RMAP Conformant
Tin
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
CHINA
CID001908
RMAP Conformant
Tin
White Solder Metalurgia e Mineracao Ltda.
BRAZIL
CID002036
RMAP Conformant
Tin
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
CHINA
CID002158
RMAP Conformant


Tin
Yunnan Tin Company Limited
CHINA
CID002180
RMAP Conformant
Tin
CV Venus Inti Perkasa
INDONESIA
CID002455
RMAP Conformant
Tin
Magnu's Minerais Metais e Ligas Ltda.
BRAZIL
CID002468
RMAP Conformant
Tin
Melt Metais e Ligas S.A.
BRAZIL
CID002500
RMAP Conformant
Tin
PT ATD Makmur Mandiri Jaya
INDONESIA
CID002503
RMAP Conformant
Tin
O.M. Manufacturing Philippines, Inc.
PHILIPPINES
CID002517
RMAP Conformant
Tin
PT Inti Stania Prima
INDONESIA
CID002530
RMAP Conformant
Tin
CV Ayi Jaya
INDONESIA
CID002570
RMAP Conformant
Tin
CV Tiga Sekawan
INDONESIA
CID002593
RMAP Conformant
Tin
Resind Industria e Comercio Ltda.
BRAZIL
CID002706
RMAP Conformant
Tin
Metallo Belgium N.V.
BELGIUM
CID002773
RMAP Conformant
Tin
Metallo Spain S.L.U.
SPAIN
CID002774
RMAP Conformant
Tin
PT Bangka Prima Tin
INDONESIA
CID002776
RMAP Conformant
Tin
PT Sukses Inti Makmur
INDONESIA
CID002816
RMAP Conformant
Tin
PT Menara Cipta Mulia
INDONESIA
CID002835
RMAP Conformant
Tin
Guangdong Hanhe Non-Ferrous Metal Co., Ltd.
CHINA
CID003116
RMAP Conformant
Tin
CV Dua Sekawan
INDONESIA
CID002592
RMAP Conformant
Tin
Gejiu Kai Meng Industry and Trade LLC
CHINA
CID000942
RMAP Conformant
Tin
Huichang Jinshunda Tin Co., Ltd.
CHINA
CID000760
RMAP Conformant
Tin
PT Kijang Jaya Mandiri
INDONESIA
CID002829
RMAP Conformant
Tin
HuiChang Hill Tin Industry Co., Ltd.
CHINA
CID002844
RMAP Conformant
Tin
Gejiu Fengming Metallurgy Chemical Plant
CHINA
CID002848
RMAP Conformant
Tin
Guanyang Guida Nonferrous Metal Smelting Plant
CHINA
CID002849
RMAP Conformant
Tin
Chifeng Dajingzi Tin Industry Co., Ltd.
CHINA
CID003190
RMAP Conformant
Tin
Modeltech Sdn Bhd
MALAYSIA
CID002858
RMAP Conformant
Tin
PT Bangka Serumpun
INDONESIA
CID003205
RMAP Conformant
Tungsten
A.L.M.T. TUNGSTEN Corp.
JAPAN
CID000004
RMAP Conformant
Tungsten
Kennametal Huntsville
UNITED STATES OF AMERICA
CID000105
RMAP Conformant
Tungsten
Guangdong Xianglu Tungsten Co., Ltd.
CHINA
CID000218
RMAP Conformant
Tungsten
Chongyi Zhangyuan Tungsten Co., Ltd.
CHINA
CID000258
RMAP Conformant
Tungsten
Fujian Jinxin Tungsten Co., Ltd.
CHINA
CID000499
RMAP Conformant
Tungsten
Global Tungsten & Powders Corp.
UNITED STATES OF AMERICA
CID000568
RMAP Conformant
Tungsten
Hunan Chenzhou Mining Co., Ltd.
CHINA
CID000766
RMAP Conformant
Tungsten
Hunan Chunchang Nonferrous Metals Co., Ltd.
CHINA
CID000769
RMAP Conformant
Tungsten
Japan New Metals Co., Ltd.
JAPAN
CID000825
RMAP Conformant
Tungsten
Ganzhou Huaxing Tungsten Products Co., Ltd.
CHINA
CID000875
RMAP Conformant
Tungsten
Kennametal Fallon
UNITED STATES OF AMERICA
CID000966
RMAP Conformant
Tungsten
Tejing (Vietnam) Tungsten Co., Ltd.
VIET NAM
CID001889
RMAP Conformant
Tungsten
Wolfram Bergbau und Hutten AG
AUSTRIA
CID002044
RMAP Conformant
Tungsten
Xiamen Tungsten Co., Ltd.
CHINA
CID002082
RMAP Conformant
Tungsten
Xinhai Rendan Shaoguan Tungsten Co., Ltd.
CHINA
CID002095
RMAP Conformant
Tungsten
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
CHINA
CID002315
RMAP Conformant


Tungsten
Jiangxi Yaosheng Tungsten Co., Ltd.
CHINA
CID002316
RMAP Conformant
Tungsten
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
CHINA
CID002317
RMAP Conformant
Tungsten
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
CHINA
CID002318
RMAP Conformant
Tungsten
Malipo Haiyu Tungsten Co., Ltd.
CHINA
CID002319
RMAP Conformant
Tungsten
Xiamen Tungsten (H.C.) Co., Ltd.
CHINA
CID002320
RMAP Conformant
Tungsten
Jiangxi Gan Bei Tungsten Co., Ltd.
CHINA
CID002321
RMAP Conformant
Tungsten
Ganzhou Seadragon W & Mo Co., Ltd.
CHINA
CID002494
RMAP Conformant
Tungsten
Chenzhou Diamond Tungsten Products Co., Ltd.
CHINA
CID002513
RMAP Conformant
Tungsten
H.C. Starck Tungsten GmbH
GERMANY
CID002541
RMAP Conformant
Tungsten
H.C. Starck Smelting GmbH & Co. KG
GERMANY
CID002542
RMAP Conformant
Tungsten
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC
VIET NAM
CID002543
RMAP Conformant
Tungsten
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
CHINA
CID002551
RMAP Conformant
Tungsten
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji
CHINA
CID002579
RMAP Conformant
Tungsten
Niagara Refining LLC
UNITED STATES OF AMERICA
CID002589
RMAP Conformant
Tungsten
Hydrometallurg, JSC
RUSSIAN FEDERATION
CID002649
RMAP Conformant
Tungsten
Asia Tungsten Products Vietnam Ltd.
VIET NAM
CID002502
RMAP Conformant
Tungsten
South-East Nonferrous Metal Company Limited of Hengyang City
CHINA
CID002815
RMAP Conformant
Tungsten
Philippine Chuangxin Industrial Co., Inc.
PHILIPPINES
CID002827
RMAP Conformant
Tungsten
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.
CHINA
CID002830
RMAP Conformant
Tungsten
ACL Metais Eireli
BRAZIL
CID002833
RMAP Conformant
Tungsten
Woltech Korea Co., Ltd.
KOREA, REPUBLIC OF
CID002843
RMAP Conformant
Tungsten
Moliren Ltd.
RUSSIAN FEDERATION
CID002845
RMAP Conformant
Tungsten
Unecha Refractory metals plant
RUSSIAN FEDERATION
CID002724
RMAP Conformant


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

Argentina, Armenia, Australia, Austria, Azerbaijan, Benin, Bolivia (Plurinational State of), Botswana, Brazil, Burkina Faso, Burundi, Canada, Chile, China, Colombia, Cyprus, Democratic Republic of Congo, Dominican Republic, Ecuador, Egypt, Eritrea, Ethiopia, Finland, Georgia, Ghana, Guatemala, Guinea, Guyana, Honduras, India, Indonesia, Iran, Ivory Coast, Kazakhstan, Kenya, Kyrgyzstan, Laos, Lebanon, Madagascar, Malaysia, Mali, Mauritania, Mauritius, Mexico, Mongolia, Morocco, Mozambique, Myanmar, Namibia, Nicaragua, Niger, Nigeria, Papua New Guinea, Peru, Philippines, Portugal, Puerto Rico, Russian Federation, Rwanda, Saudi Arabia, Senegal, Slovakia, Solomon Islands, South Africa, Spain, Suriname, Swaziland, Sweden, Taiwan, Tanzania, Thailand, Togo, Turkey, Uganda, United Kingdom of Great Britain and Northern Ireland, United States of America, Uruguay, Uzbekistan, Venezuela, Zambia, and 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 2018 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: https://www.maximintegrated.com/content/dam/files/design/emmi/maxim-conflict-free-minerals-statement.pdf.

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, 2018 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.