0000873044-14-000089.txt : 20140530 0000873044-14-000089.hdr.sgml : 20140530 20140530152252 ACCESSION NUMBER: 0000873044-14-000089 CONFORMED SUBMISSION TYPE: SD PUBLIC DOCUMENT COUNT: 2 13p-1 1.01 20131231 FILED AS OF DATE: 20140530 DATE AS OF CHANGE: 20140530 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RADISYS CORP CENTRAL INDEX KEY: 0000873044 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER PERIPHERAL EQUIPMENT, NEC [3577] IRS NUMBER: 930945232 STATE OF INCORPORATION: OR FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SD SEC ACT: 1934 Act SEC FILE NUMBER: 000-26844 FILM NUMBER: 14879995 BUSINESS ADDRESS: STREET 1: 5435 NE DAWSON CREEK DR CITY: HILLSBORO STATE: OR ZIP: 97124 BUSINESS PHONE: 5036151100 MAIL ADDRESS: STREET 1: 5435 NE DAWSON CREEK DRIVE CITY: HILLSBORO STATE: OR ZIP: 97124 SD 1 formsd.htm SD Form SD


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

FORM SD
Specialized disclosure report

RADISYS CORPORATION
(Exact Name of Registrant as Specified in Charter)

Oregon
0-26844
93-0945232
(State or other jurisdiction
(Commission
(IRS Employer
Of incorporation or organization)
File Number)
Identification No.)

5435 NE Dawson Creek Drive, Hillsboro, Oregon
97124
(Address of principal executive offices)
(Zip Code)

Allen Muhich (503) 615-1256
(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, 2013.







General
Unless required by context, or as otherwise indicated, “we,” “us,” “our” and similar terms, as well as references to the “Company” and “Radisys” refer to Radisys Corporation and includes all of our consolidated subsidiaries.

Section 1 - Conflict Minerals Disclosure
Item 1.01 Conflict Minerals Disclosure and Report
Radisys Corporation is a provider of wireless infrastructure solutions to the telecom market. The term “conflict minerals” is defined by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 and includes metals widely used in telecommunications equipment, including many of our products, regardless of origin. Our products fall into four categories: T-Series platform products (“ATCA”); Software Solutions, which is comprised of Trillium software and Media Resources Function (“MRF”); COM Express and Rackmount Servers (Com-E/RMS”); and Other Products. Conflict minerals are necessary for the functionality or production of products in all of our product categories, excluding the Trillium portion of Software Solutions. As such, we undertook due diligence measures to determine source and chain of custody of conflict minerals used in the production of our products, including a reasonable country of origin inquiry of the conflict minerals used in our products.

Item 1.02 Exhibit
A copy of Radisys Corporation’s Conflict Minerals Report is filed as Exhibit 1.01 hereto and is publicly available on our website at www.radisys.com.

Section 2 - Exhibits
Item 2.01 Exhibits
The following exhibit is filed as part of this report.
Exhibit 1.01 - Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form.






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.


RADISYS CORPORATION
 
 
 
(Registrant)
 
 
 
 
 
 
 
 
By:
/s/ Allen Muhich
 
May 30, 2014
 
 
Allen Muhich
 
(Date)
 
 
Chief Financial Officer
 
 
 



EX-1.01 2 exhibit101.htm EXHIBIT Exhibit 1.01


EXHIBIT 1.01


RADISYS CORPORATION
Conflict Minerals Report
For the Year Ended December 31, 2013

This is the Conflict Minerals Report of Radisys Corporation (herein referred to as “Radisys” or the “Company”) report for the year ended December 31, 2013 in accordance with Rule 13p-1 under the Securities Exchange Act of 1934 (the Exchange Act). Rule 13p-1 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 Act). Numerous terms in this report are defined in Rule 13p-1, Form SD promulgated under the Exchange Act and Exchange Act Release No. 34-67716 and the reader is referred to those sources for such definitions.

This Conflict Minerals Report has not been subject to an independent private sector audit as allowed under Rule 13p-1, which provides a temporary accommodation for the first two years following November 13, 2012.

In accordance with Rule 13p-1, the Company undertook a reasonable country of origin inquiry that was reasonably designed to determine whether the conflict minerals necessary for the functionality or production of its products originated in the Democratic Republic of the Congo or an adjoining country (a “Covered Country”) or are from recycled or scrap sources. As a company in the telecommunications equipment manufacturing business, Radisys is several levels removed from the actual mining of conflict minerals. Radisys does not make purchases of raw ore or unrefined conflict minerals and makes no purchases in the Covered Countries. The Company designed and implemented its due diligence measures as to the source and chain of custody of its conflict minerals to be in conformity, in all material respects, with the nationally or internationally recognized framework in the OECD Due Diligence Guidance for Responsible Supply Chain of Minerals from Conflict-Affected and High-Risk Areas (OECD 2011) and related supplements for each of the conflict minerals.

The Company’s due diligence measures included;

A.
Conflict Minerals Compliance Plan
The company has developed and implemented a Conflict Minerals Compliance Plan that establishes standards and procedures for compliance with Section 1502 of the Act and Rule 13p-1.

B.
Conflict Minerals Policy
Radisys has adopted a Conflict Minerals Sourcing Policy to reasonably assure its products are “DRC conflict free”. Suppliers are expected to have in place policies and due diligence measures that will enable the company to reasonably report the country of origin for products and components being supplied. Radisys’s Conflict Minerals Sourcing Policy can be found at: www.radisys.com

C.
Risk Assessment and Mitigation
All products and suppliers were assessed to determine conflict mineral scope and risk. Suppliers were assigned risk ratings for prioritization of due diligence activities. Focus was placed on high risk suppliers for completion of due diligence procedures.

D.
Reasonable Country of Origin Methodology
A reasonable country of origin inquiry (RCOI) was conducted with direct suppliers using the EICC/GeSI Conflict Minerals Reporting Template to identify the smelters and refiners that contribute refined conflict minerals to the products supplied to Radisys.

E.
Maintenance of Reviewable Business Records
Radisys maintains electronic copies of supplier responses and other documents that support the due diligence process to demonstrate transparency and compliance with recommended best practices per the OECD as well as the long-term evolution and improvement of its program to its shareholders.

Through our Conflict Mineral Compliance Plan, Radisys surveyed 100% of the suppliers within the scope of our RCOI and has been able to determine that 33% either do not provide materials that contain conflict minerals or do not provide any reason to believe that the conflict minerals they use originated in Covered Countries. Due to lack of information from our remaining suppliers, we have not been able to conclude whether the products purchased from them include Conflict Minerals and if so, whether they originated in the Covered Countries.

Due to the breadth and complexity of Radisys' products and respective supply chain, as well as being several layers removed from the mining of conflict minerals, it will take time for many of our suppliers to verify the origin of all of the minerals. Radisys will continue to perform due diligence activities in accordance with its Conflict Mineral Compliance Plan with suppliers that were unable to provide sufficient information during the initial reasonable country of origin inquiry to determine the source and chain of custody of its conflict minerals. The Company will undertake the following steps during the next compliance period to improve the results of its due diligence and to reduce the risk that its necessary conflict minerals do not benefit armed groups, including;






Work directly with suppliers to increase the response rate.
Compare RCOI results to the EICC/GeSI Conflict Free Smelter List.

The following is a link to Radisys Corporation’s public disclosure for conflict minerals: www.radisys.com.


Smelter List
Based on the information obtained pursuant to our RCOI and the due diligence process, Radisys does not have sufficient information to determine the country of origin of all the Conflict Minerals in the Covered Products; however, based on the information that was provided by the responding suppliers and otherwise obtained by Radisys through the due diligence process, we believe that, to the extent reasonably determinable, the facilities that were used to process the Conflict Minerals contained in some of the Covered Products included the smelters and refiners listed below:

Metal
Smelter Name
Smelter Country
Gold
Western Australian Mint trading as The Perth Mint
Australia
Gold
Western Australian Mint trading as The Perth Mint
Australia
Gold
Royal Canadian Mint
Canada
Gold
Johnson Matthey Limited
Canada
Gold
Royal Canadian Mint
Canada
Gold
Royal Canadian Mint
Canada
Gold
Xstrata Canada Corporation
Canada
Gold
Codelco
Chile
Gold
Shandong Zhaojin Gold & Silver Refinery Co. Ltd
China
Gold
Shanghai Gold Exchange
China
Gold
The Refinery of Shandong Gold Mining Co. Ltd
China
Gold
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
China
Gold
Allgemeine Gold- und Silberscheideanstalt A.G.
Germany
Gold
Heraeus Precious Metals GmbH & Co. KG
Germany
Gold
Heraeus Ltd Hong Kong
Hong Kong
Gold
Heraeus Ltd Hong Kong
Hong Kong
Gold
Heraeus Ltd Hong Kong
Hong Kong
Gold
Metalor Technologies (Hong Kong) Ltd
Hong Kong
Gold
Metalor Technologies (Hong Kong) Ltd
Hong Kong
Gold
Matsuda Sangyo Co. Ltd
Japan
Gold
Tanaka Kikinzoku Kogyo K.K.
Japan
Gold
Aida Chemical Industries Co. Ltd.
Japan
Gold
Asahi Pretec Corporation
Japan
Gold
Asaka Riken Co Ltd
Japan
Gold
Chugai Mining
Japan
Gold
Dowa
Japan
Gold
Ishifuku Metal Industry Co., Ltd.
Japan
Gold
JX Nippon Mining & Metals Co., Ltd
Japan
Gold
Matsuda Sangyo Co. Ltd
Japan
Gold
Mitsubishi Materials Corporation
Japan
Gold
Mitsui Mining and Smelting Co., Ltd.
Japan
Gold
Nihon Material Co. LTD
Japan
Gold
Kojima Chemicals Co. Ltd.
Japan
Gold
Sumitomo Metal Mining Co. Ltd.
Japan
Gold
Tanaka Kikinzoku Kogyo K.K.
Japan
Gold
Tokuriki Honten Co. Ltd
Japan
Gold
Yokohama Metal Co Ltd
Japan
Gold
LS-Nikko Copper Inc
Korea, Republic of
Gold
Daejin Industries
Korea, Republic of
Gold
Daeryung ENC
Korea, Republic of
Gold
Do Sung Metal
Korea, Republic of





Gold
Hwasung CJ Co., Ltd
Korea, Republic of
Gold
Korea Metal
Korea, Republic of
Gold
Samwon Metal
Korea, Republic of
Gold
Torecom
Korea, Republic of
Gold
Argor-Heraeus SA
Switzerland
Gold
Metalor Technologies SA
Switzerland
Gold
Solar Applied Materials Technology Corp.
Taiwan
Gold
Johnson Matthey Inc
United States
Gold
Johnson Matthey Inc
United States
Gold
Materion
United States
Gold
Metalor USA Refining Corporation
United States
Gold
Ohio Precious Metals LLC.
United States
Gold
Navoi Mining and Metallurgical Combinat
Uzbekistan
Tin
Metallo Chimique
Belgium
Tin
Metallo Chimique
Belgium
Tin
Jean Goldschmidt International
Belgium
Tin
EM Vinto
Bolivia
Tin
EM Vinto
Bolivia
Tin
OMSA
Bolivia
Tin
Mineração Taboca S.A.
Brazil
Tin
Mineração Taboca S.A.
Brazil
Tin
Coopersanta
Brazil
Tin
White Solder Metalurgia
Brazil
Tin
AIM
Canada
Tin
Yunnan Chengfeng
China
Tin
Geiju Non-Ferrous Metal Processing Co. Ltd.
China
Tin
Gejiu Zi-Li
China
Tin
Gold Bell Group
China
Tin
Jiangxi Nanshan
China
Tin
Liuzhou China Tin
China
Tin
Taicang City Nancang Metal Meterial Co.,Ltd
China
Tin
Yunnan Chengfeng
China
Tin
Yunnan Chengfeng
China
Tin
Yunnan Chengfeng
China
Tin
Yunnan Tin Company Limited
China
Tin
Yunnan Tin Company Limited
China
Tin
Yunnan Tin Company Limited
China
Tin
CV Duta Putra Bangka
Indonesia
Tin
CV JusTindo
Indonesia
Tin
CV Makmur Jaya
Indonesia
Tin
CV Nurjanah
Indonesia
Tin
CV Serumpun Sebalai
Indonesia
Tin
CV United Smelting
Indonesia
Tin
CV United Smelting
Indonesia
Tin
PT Alam Lestari Kencana
Indonesia
Tin
PT Artha Cipta Langgeng
Indonesia
Tin
PT Babel Inti Perkasa
Indonesia
Tin
PT Babel Surya Alam Lestari
Indonesia
Tin
PT Bangka Kudai Tin
Indonesia
Tin
PT Bangka Putra Karya
Indonesia
Tin
PT Bangka Timah Utama Sejahtera
Indonesia
Tin
PT Belitung Industri Sejahtera
Indonesia
Tin
PT BilliTin Makmur Lestari
Indonesia
Tin
PT Bukit Timah
Indonesia





Tin
PT Eunindo Usaha Mandiri
Indonesia
Tin
PT Fang Di MulTindo
Indonesia
Tin
PT HP Metals Indonesia
Indonesia
Tin
PT Koba Tin
Indonesia
Tin
PT Koba Tin
Indonesia
Tin
PT Koba Tin
Indonesia
Tin
PT Mitra Stania Prima
Indonesia
Tin
PT Refined Banka Tin
Indonesia
Tin
PT Sariwiguna Binasentosa
Indonesia
Tin
PT Stanindo Inti Perkasa
Indonesia
Tin
PT Stanindo Inti Perkasa
Indonesia
Tin
PT Sumber Jaya Indah
Indonesia
Tin
PT Tambang Timah
Indonesia
Tin
PT Tambang Timah
Indonesia
Tin
PT Timah
Indonesia
Tin
PT Timah
Indonesia
Tin
PT Timah Nusantara
Indonesia
Tin
PT Tinindo Inter Nusa
Indonesia
Tin
PT Yinchendo Mining Industry
Indonesia
Tin
PT DS Jaya Abadi
Indonesia
Tin
Mitsubishi Materials Corporation
Japan
Tin
Malaysia Smelting Corporation (MSC)
Malaysia
Tin
Malaysia Smelting Corporation (MSC)
Malaysia
Tin
Malaysia Smelting Corporation (MSC)
Malaysia
Tin
Malaysia Smelting Corporation (MSC)
Malaysia
Tin
Minsur
Peru
Tin
Minsur
Peru
Tin
Minsur
Peru
Tin
Minsur
Peru
Tin
Novosibirsk Integrated Tin Works
Russian Federation
Tin
Thaisarco
Thailand
Tin
Thaisarco
Thailand
Tin
Thaisarco
Thailand
Tin
Thaisarco
Thailand
Tin
Cookson
United States
Tin
Cookson
United States
Tin
Nathan Trotter & Co
United States
Tungsten
Xiamen Tungsten Co Ltd
China
Tungsten
Chaozhou Xianglu Tungsten Industry Co Ltd
China
Tungsten
Ganzhou Grand Sea W & Mo Group Co Ltd
China
Tungsten
Jiangxi Rare Earth & Rare Metals Tungsten Group Corp
China
Tungsten
Jiangxi Tungsten Industry Group Co Ltd
China
Tungsten
China National Nonferrous
China
Tungsten
Hunan Chun-chang Non-ferrous Smelting & Concentrating Co., Ltd.
China
Tungsten
Dayu Weiliang Tungsten CO.,LTD
China
Tungsten
Nanchang Cemented Carbide Limited Liability Company
China
Tungsten
NingHua XingLuoKeng TungSten Mining CO.,LID
China
Tungsten
Xiamen Golden Egret Special Alloy Co. Ltd.
China
Tungsten
Xiamen Tungsten Co Ltd
China
Tungsten
Zhuzhou Cemented Carbide Group Co Ltd
China
Tungsten
HC Starck GmbH
Germany
Tungsten
Global Tungsten & Powders Corp
United States
Tungsten
Global Tungsten & Powders Corp
United States