EX-1.01 2 d930239dex101.htm EX-1.01 EX-1.01

Exhibit 1.01

Rambus Inc.

Conflict Minerals Report

For the Reporting Period from January 1, 2019 to December 31, 2019

Introduction

This Conflict Minerals Report (this “Report”) of Rambus Inc. (“we,” “Rambus” or the “Company”) for the reporting period January 1, 2019 to December 31, 2019 (the “Reporting Period”) has been prepared in accordance with the requirements of Rule 13p-1 (the “Rule”) and Form SD promulgated under the Securities Exchange Act of 1934, as amended.

The Rule requires disclosure of certain information when a company manufactures or contracts to manufacture products where the minerals specified in the Rule are necessary to the functionality or production of those products. The specified minerals are referred to as “Conflict Minerals,” which include gold, columbite-tantalite (coltan), cassiterite, wolframite and their derivatives, which are limited to tantalum, tin and tungsten. The “Covered Countries” for purposes of the Rule and this Report are the Democratic Republic of Congo (the “DRC”), or any adjoining country, including the Republic of Congo, the Central African Republic, South Sudan, Uganda, Rwanda, Burundi, Tanzania, Zambia and Angola.

This Report and Form SD can be found on our website at www.rambus.com.

Company Overview

Dedicated to making data faster and safer, Rambus creates innovative hardware, software and services that drive technology advancements from the data center to the mobile edge. Our architecture licenses, IP cores, chips, software, and services span memory and interfaces, security, and emerging technologies to positively impact the modern world. We collaborate with the industry, partnering with leading chip and system designers, foundries, and service providers. Integrated into a wide array of devices and systems, our products power and secure diverse applications, including data center infrastructure, Big Data and Internet of Things (IoT) security. We intend to continue our growth into new technology fields, consistent with our mission to create value through our innovations and to make those technologies available through the shipment of products, the delivery of services, and licensing business models.

During the Reporting Period we continued to ship our physical semiconductor products and workstation solutions. We offer DDR2, DDR3 and DDR4 chipsets for RDIMM, LRDIMM and NVDIMM server modules that support the data center and enterprise server infrastructure markets. For such products we operate a fabless business model and use third-party foundries and assembly and test manufacturing contractors to manufacture, assemble and test our semiconductor products.

Description of the Company’s Conflict Minerals Policy

Our goal is to eliminate the use of Conflict Minerals. We are aware that our chipsets contain tin, tantalum, tungsten and gold (“3TG”) metals that are necessary to the functionality or production of those products. To this end, Rambus works with its chipset suppliers to identify the sources of all 3TG metals used in our chipsets. If any of these metals originate from the Covered Countries, then further investigation is required.

We use the tools provided by the Responsible Minerals Initiative (“RMI”) to gather information from our suppliers. The information requested includes the name and location of smelters or refiners used to produce the metals, and the origin of the minerals. Our due diligence process and efforts are consistent with the Organization for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (“OECD Guidance”).

Our Conflict Minerals Policy can be found on our website at www.rambus.com.

 

Description of the Company’s Supply Chain

Because we operate a fabless business model, we do not directly purchase 3TG from mines, smelters, or refiners. Therefore, we must rely on our suppliers to provide information regarding the country of origin of Conflict Minerals that are included in the Covered Products (as defined below). Many of our suppliers do not purchase raw materials directly and must rely on their downstream suppliers and sub-suppliers to determine the origin of their raw materials. Thus, reliably determining the origin is a difficult task, and our suppliers are highly dependent on the information provided to them by their suppliers and sub-suppliers which are often far removed from the direct smelter or refiner. Additionally, many of our suppliers are not directly subject to the same conflict minerals law and regulations as we are.

Identification of Conflict Minerals and of the Company’s Products Covered by this Report

We sent a questionnaire to our operating business units inquiring whether during the Reporting Period any of our units manufactured or contracted to manufacture any products containing Conflict Minerals necessary to such products’ functionality or production.

Based on these inquiries, we determined that our chipsets were the only products that met this test (“Covered Products”). We found that Conflict Minerals were not necessary to the functionality or production of any product that we manufactured or contracted to manufacture other than the Covered Products that we contracted to manufacture during the Reporting Period.

From this information, we developed a list of direct suppliers within our chipset supply chain to be surveyed and who provided 3TG materials for our products. Engineering and evaluation materials were not included in our analysis.

Description of the Company’s Reasonable Country of Origin Inquiry

We conducted in good faith a reasonable country of origin inquiry (“RCOI”) with respect to the Covered Products that were manufactured or contracted to be manufactured by us during the Reporting Period. The RCOI is reasonably designed to determine if any of the Conflict Minerals in the Covered Products originated in the Covered Countries and whether any of the Conflict Minerals may be from recycled or scrap sources.

Once we identified our list of suppliers, we began the process of surveying the supply chain using the RMI’s Conflict Minerals Reporting Template (“CMRT”). The CMRT is used predominantly throughout the electronics industry and requests relevant information, including details of the smelters and refiners where the materials were processed and the location of mines where the minerals originated.

We informed each identified supplier of our desire to use only materials verified to be conflict-free and asked them to return a completed CMRT. Responses were reviewed for completeness, reasonableness, and consistency, and we followed up with our suppliers for corrections and clarifications as needed.

Based on the responses from the suppliers, we were not able to conclusively determine the complete geographic origin of all 3TG materials used in our Covered Products. Therefore, we proceeded to perform the due diligence process outlined below.

Description of the Company’s Due Diligence Process

Based on the information provided to us by our suppliers, we undertook additional due diligence processes and efforts based on the OECD Guidance in order to determine if any Conflict Materials included in our Covered Products may have originated in the Covered Countries and if so, whether they benefited armed groups in those countries.

In accordance with the OECD Guidance, the design of our due diligence includes the five steps described below.

 

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Step 1: Establish Strong Company Management Systems

We have completed a number of steps to establish a management system for addressing the sourcing of Conflict Minerals in our Covered Products. These actions include:

 

  •  

Adopt and Commit to a Supply Chain Policy for Conflict Minerals: We are committed to responsible relationships with customers, suppliers and business partners under our Code of Business Conduct and Ethics (“Code of Conduct”) publicly available on our website at www.rambus.com. Our Code of Conduct standards apply worldwide and outline expected behaviors for everyone who works for us or serves on our Board of Directors. These expected behaviors include, without limitation, conducting all business relationships, including with suppliers, in an honest and ethical manner and in compliance with all applicable laws and refraining from participating or aiding a supplier who is seeking to commit an unethical act. We have also adopted a Conflict Minerals Policy.

 

  •  

Internal Management to Support Supply Chain Due Diligence: We have established a management system for disclosing our use of Conflict Minerals under the Rule. This management system is sponsored by our General Counsel as well as executive-level representatives and a team of subject matter experts from relevant functions such as finance, legal, operations and engineering. The team of subject matter experts is responsible for ensuring our Conflict Minerals disclosure compliance.

 

  •  

Controls and Transparency to Support Supply Chain Diligence: As described above, we undertook an RCOI with respect to the Conflict Minerals in our supply chain by requesting a CMRT be completed by each of our suppliers to gather information about their use of Conflict Minerals, the smelters and refiners in their supply chain that are included in our Covered Products, and the countries of origin for such Conflict Minerals.

 

  •  

Supplier Engagement: With respect to the OECD requirement to strengthen engagement with suppliers, we inform our suppliers of our conflict mineral efforts and that they are expected to investigate their supply chains for conflict minerals information and inform us of the results.

 

  •  

Grievance Mechanism: Code of Conduct contains procedures whereby employees can report violations.

 

  •  

Maintain records: We have an existing document retention policy that includes retaining Conflict Minerals due diligence documentation.

Step 2: Identify and Assess Risk in the Supply Chain

As a fabless producer of semiconductor products, we have no direct relationship with 3TG suppliers. Thus, we rely on our direct suppliers to provide us with the necessary information about the source of Conflict Minerals contained in the Covered Products that we contract with them to manufacture for us. Our suppliers are similarly reliant upon information provided by their suppliers to provide information regarding the country of origin of Conflict Minerals that are included in the Covered Products. Thus, there is a risk that the final information provided to us and upon which we rely is incomplete or inaccurate.

Step 3: Carry Out Independent Third-Party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain

Because we do not have direct relationships with suppliers of the 3TG materials, we rely upon third parties to perform audits and certify smelters/refiners as conflict-free. Responsible Minerals Assurance Process (RMAP) coordinates audits of 3TG smelters/refiners and publishes lists of those that are found to be conflict-free by following OECD Guidelines. The RMI also publishes names of smelters/refiners that are actively in the process of becoming certified conflict-free, but have not completed the process to date. Rambus uses these published lists to determine if the smelters and refiners supplying 3TG materials for our Covered Products are conflict-free. If the sources of all 3TG materials for a product have been identified as conflict-free, then Rambus likewise considers such product as conflict-free.

 

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Step 4: Report on Supply Chain Due Diligence

We report on our due diligence efforts as required by law. We publicly filed the Form SD and this Report with the SEC.

This Report includes information about the RCOI we undertook, our due diligence process designed to conform with the OECD Guidelines, the list of known smelters and refiners utilized in our supply chain identified in our due diligence process, and a description of our products that incorporate Conflict Minerals necessary to the functionality or production of such products.

Findings and Conclusions

During the Reporting Period, we utilized five suppliers with respect to our chipset products and required all of these suppliers to perform and report on their supply chain due diligence through the use of the CMRT. We received a 100% response rate to our requests. Responses from our suppliers using the CMRT have been reviewed, combined and summarized. Responding parties provided a CMRT which includes a declaration page and a list of smelter and refinery names. Based on the information provided to us by our suppliers, we believe that, to the extent reasonably determinable, the facilities that were used to process the Conflict Minerals contained in the Covered Products included the smelters and refiners listed in Annex I below.

All suppliers provided complete lists of smelters representing 100% of the 3TG materials they utilized. Four suppliers declared that a portion of the 3TG metals came from the Covered Countries. However, these suppliers also indicated that such materials came from a smelter or refiner that has been audited and is listed as conflict-free and conformant by the RMI. One supplier declared that they are uncertain if any 3TG materials came from the Covered Countries.

We combined the responses from all suppliers and prepared a list of unique smelter or refiner names. We then used the RMI conformance lists to determine if the Conflict Minerals originate from the Covered Countries and could be benefitting armed groups. All of the smelters/refiners on our list have been verified as conformant by the RMAP. Therefore, based on our due diligence efforts, we conclude the Conflict Minerals contained in our Covered Products come from suppliers using smelters or refiners listed as conformant by RMI. However, we rely on our direct suppliers to provide us with the necessary information about the source of Conflict Minerals contained in the Covered Products that we contract with them to manufacture for us and our suppliers are similarly reliant upon information provided by their suppliers. Thus, there is a risk that the final information provided to us and upon which we rely is incomplete or inaccurate.

 

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ANNEX I – SMELTER LIST

 

Mineral

   

Smelter Name

   

Smelter ID

   

Country

   

Status

Gold    Advanced Chemical Company    CID000015    UNITED STATES OF AMERICA    Conformant
Gold    Aida Chemical Industries Co., Ltd.    CID000019    JAPAN    Conformant
Gold    Allgemeine Gold-und Silberscheideanstalt A.G.    CID000035    GERMANY    Conformant
Gold    Almalyk Mining and Metallurgical Complex (AMMC)    CID000041    UZBEKISTAN    Conformant
Gold    AngloGold Ashanti Corrego do Sitio Mineracao    CID000058    BRAZIL    Conformant
Gold    Argor-Heraeus S.A.    CID000077    SWITZERLAND    Conformant
Gold    Asahi Pretec Corp.    CID000082    JAPAN    Conformant
Gold    Asaka Riken Co., Ltd.    CID000090    JAPAN    Conformant
Gold    Aurubis AG    CID000113    GERMANY    Conformant
Gold    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    CID000128    PHILIPPINES    Conformant
Gold    Boliden AB    CID000157    SWEDEN    Conformant
Gold    C. Hafner GmbH + Co. KG    CID000176    GERMANY    Conformant
Gold    CCR Refinery - Glencore Canada Corporation    CID000185    CANADA    Conformant
Gold    Cendres + Metaux S.A.    CID000189    SWITZERLAND    Conformant
Gold    Chimet S.p.A.    CID000233    ITALY    Conformant
Gold    DSC (Do Sung Corporation)    CID000359    KOREA, REPUBLIC OF    Conformant
Gold    DODUCO Contacts and Refining GmbH    CID000362    GERMANY    Conformant
Gold    Dowa    CID000401    JAPAN    Conformant
Gold    Eco-System Recycling Co., Ltd. East Plant    CID000425    JAPAN    Conformant
Gold    OJSC Novosibirsk Refinery    CID000493    RUSSIAN FEDERATION    Conformant
Gold    LT Metal Ltd.    CID000689    KOREA, REPUBLIC OF    Conformant
Gold    Heimerle + Meule GmbH    CID000694    GERMANY    Conformant
Gold    Heraeus Metals Hong Kong Ltd.    CID000707    CHINA    Conformant
Gold    Heraeus Precious Metals GmbH & Co. KG    CID000711    GERMANY    Conformant
Gold    Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.    CID000801    CHINA    Conformant
Gold    Ishifuku Metal Industry Co., Ltd.    CID000807    JAPAN    Conformant
Gold    Istanbul Gold Refinery    CID000814    TURKEY    Conformant
Gold    Japan Mint    CID000823    JAPAN    Conformant
Gold    Jiangxi Copper Co., Ltd.    CID000855    CHINA    Conformant
Gold    Asahi Refining USA Inc.    CID000920    UNITED STATES OF AMERICA    Conformant
Gold    Asahi Refining Canada Ltd.    CID000924    CANADA    Conformant
Gold    JSC Uralelectromed    CID000929    RUSSIAN FEDERATION    Conformant
Gold    JX Nippon Mining & Metals Co., Ltd.    CID000937    JAPAN    Conformant
Gold    Kazzinc    CID000957    KAZAKHSTAN    Conformant
Gold    Kennecott Utah Copper LLC    CID000969    UNITED STATES OF AMERICA    Conformant
Gold    Kojima Chemicals Co., Ltd.    CID000981    JAPAN    Conformant
Gold    Kyrgyzaltyn JSC    CID001029    KYRGYZSTAN    Conformant
Gold    LS-NIKKO Copper Inc.    CID001078    KOREA, REPUBLIC OF    Conformant
Gold    Materion    CID001113    UNITED STATES OF AMERICA    Conformant
Gold    Matsuda Sangyo Co., Ltd.    CID001119    JAPAN    Conformant
Gold    Metalor Technologies (Suzhou) Ltd.    CID001147    CHINA    Conformant
Gold    Metalor Technologies (Hong Kong) Ltd.    CID001149    CHINA    Conformant
Gold    Metalor Technologies (Singapore) Pte., Ltd.    CID001152    SINGAPORE    Conformant
Gold    Metalor Technologies S.A.    CID001153    SWITZERLAND    Conformant
Gold    Metalor USA Refining Corporation    CID001157    UNITED STATES OF AMERICA    Conformant
Gold    Metalurgica Met-Mex Penoles S.A. De C.V.    CID001161    MEXICO    Conformant
Gold    Mitsubishi Materials Corporation    CID001188    JAPAN    Conformant
Gold    Mitsui Mining and Smelting Co., Ltd.    CID001193    JAPAN    Conformant
Gold    Moscow Special Alloys Processing Plant    CID001204    RUSSIAN FEDERATION    Conformant
Gold    Nadir Metal Rafineri San. Ve Tic. A.S.    CID001220    TURKEY    Conformant
Gold    Nihon Material Co., Ltd.    CID001259    JAPAN    Conformant
Gold    Ohura Precious Metal Industry Co., Ltd.    CID001325    JAPAN    Conformant
Gold    OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)    CID001326    RUSSIAN FEDERATION    Conformant
Gold    PAMP S.A.    CID001352    SWITZERLAND    Conformant
Gold    Prioksky Plant of Non-Ferrous Metals    CID001386    RUSSIAN FEDERATION    Conformant
Gold    PT Aneka Tambang (Persero) Tbk    CID001397    INDONESIA    Conformant
Gold    PX Precinox S.A.    CID001498    SWITZERLAND    Conformant
Gold    Rand Refinery (Pty) Ltd.    CID001512    SOUTH AFRICA    Conformant
Gold    Royal Canadian Mint    CID001534    CANADA    Conformant

 

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Mineral

   

Smelter Name

   

Smelter ID

   

Country

   

Status

Gold    SEMPSA Joyeria Plateria S.A.    CID001585    SPAIN    Conformant
Gold    Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    CID001622    CHINA    Conformant
Gold    Sichuan Tianze Precious Metals Co., Ltd.    CID001736    CHINA    Conformant
Gold    SOE Shyolkovsky Factory of Secondary Precious Metals    CID001756    RUSSIAN FEDERATION    Conformant
Gold    Solar Applied Materials Technology Corp.    CID001761    TAIWAN, PROVINCE OF CHINA    Conformant
Gold    Sumitomo Metal Mining Co., Ltd.    CID001798    JAPAN    Conformant
Gold    Tanaka Kikinzoku Kogyo K.K.    CID001875    JAPAN    Conformant
Gold    The Refinery of Shandong Gold Mining Co., Ltd.    CID001916    CHINA    Conformant
Gold    Tokuriki Honten Co., Ltd.    CID001938    JAPAN    Conformant
Gold    Torecom    CID001955    KOREA, REPUBLIC OF    Conformant
Gold    Umicore Brasil Ltda.    CID001977    BRAZIL    Conformant
Gold    Umicore S.A. Business Unit Precious Metals Refining    CID001980    BELGIUM    Conformant
Gold    United Precious Metal Refining, Inc.    CID001993    UNITED STATES OF AMERICA    Conformant
Gold    Valcambi S.A.    CID002003    SWITZERLAND    Conformant
Gold    Western Australian Mint (T/a The Perth Mint)    CID002030    AUSTRALIA    Conformant
Gold    Yamakin Co., Ltd.    CID002100    JAPAN    Conformant
Gold    Yokohama Metal Co., Ltd.    CID002129    JAPAN    Conformant
Gold    Zhongyuan Gold Smelter of Zhongjin Gold Corporation    CID002224    CHINA    Conformant
Gold    Gold Refinery of Zijin Mining Group Co., Ltd.    CID002243    CHINA    Conformant
Gold    Umicore Precious Metals Thailand    CID002314    THAILAND    Conformant
Gold    Geib Refining Corporation    CID002459    UNITED STATES OF AMERICA    Conformant
Gold    MMTC-PAMP India Pvt., Ltd.    CID002509    INDIA    Conformant
Gold    KGHM Polska Miedz Spolka Akcyjna    CID002511    POLAND    Conformant
Gold    Singway Technology Co., Ltd.    CID002516    TAIWAN, PROVINCE OF CHINA    Conformant
Gold    Emirates Gold DMCC    CID002561    UNITED ARAB EMIRATES    Conformant
Gold    T.C.A S.p.A    CID002580    ITALY    Conformant
Gold    REMONDIS PMR B.V.    CID002582    NETHERLANDS    Conformant
Gold    Korea Zinc Co., Ltd.    CID002605    KOREA, REPUBLIC OF    Conformant
Gold    Marsam Metals    CID002606    BRAZIL    Conformant
Gold    SAAMP    CID002761    FRANCE    Conformant
Gold    L’Orfebre S.A.    CID002762    ANDORRA    Conformant
Gold    8853 S.p.A.    CID002763    ITALY    Conformant
Gold    Italpreziosi    CID002765    ITALY    Conformant
Gold    SAXONIA Edelmetalle GmbH    CID002777    GERMANY    Conformant
Gold    WIELAND Edelmetalle GmbH    CID002778    GERMANY    Conformant
Gold    Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH    CID002779    AUSTRIA    Conformant
Gold    AU Traders and Refiners    CID002850    SOUTH AFRICA    Conformant
Gold    Bangalore Refinery    CID002863    INDIA    Conformant
Gold    SungEel HiMetal Co., Ltd.    CID002918    KOREA, REPUBLIC OF    Conformant
Gold    Planta Recuperadora de Metales SpA    CID002919    CHILE    Conformant
Gold    Safimet S.p.A    CID002973    ITALY    Conformant
Gold    DS PRETECH Co., Ltd.    CID003195    KOREA, REPUBLIC OF    Conformant
Tantalum    Asaka Riken Co., Ltd.    CID000092    JAPAN    Conformant
Tantalum    Changsha South Tantalum Niobium Co., Ltd.    CID000211    CHINA    Conformant
Tantalum    Guangdong Rising Rare Metals-EO Materials Ltd.    CID000291    CHINA    Conformant
Tantalum    Exotech Inc.    CID000456    UNITED STATES OF AMERICA    Conformant
Tantalum    F&X Electro-Materials Ltd.    CID000460    CHINA    Conformant
Tantalum    Guangdong Zhiyuan New Material Co., Ltd.    CID000616    CHINA    Conformant
Tantalum    JiuJiang JinXin Nonferrous Metals Co., Ltd.    CID000914    CHINA    Conformant
Tantalum    Jiujiang Tanbre Co., Ltd.    CID000917    CHINA    Conformant
Tantalum    LSM Brasil S.A.    CID001076    BRAZIL    Conformant
Tantalum    Metallurgical Products India Pvt., Ltd.    CID001163    INDIA    Conformant
Tantalum    Mineracao Taboca S.A.    CID001175    BRAZIL    Conformant
Tantalum    Mitsui Mining and Smelting Co., Ltd.    CID001192    JAPAN    Conformant
Tantalum    Ningxia Orient Tantalum Industry Co., Ltd.    CID001277    CHINA    Conformant
Tantalum    QuantumClean    CID001508    UNITED STATES OF AMERICA    Conformant
Tantalum    Yanling Jincheng Tantalum & Niobium Co., Ltd.    CID001522    CHINA    Conformant
Tantalum    Solikamsk Magnesium Works OAO    CID001769    RUSSIAN FEDERATION    Conformant
Tantalum    Taki Chemical Co., Ltd.    CID001869    JAPAN    Conformant
Tantalum    Telex Metals    CID001891    UNITED STATES OF AMERICA    Conformant
Tantalum    Ulba Metallurgical Plant JSC    CID001969    KAZAKHSTAN    Conformant
Tantalum    Hengyang King Xing Lifeng New Materials Co., Ltd.    CID002492    CHINA    Conformant
Tantalum    D Block Metals, LLC    CID002504    UNITED STATES OF AMERICA    Conformant

 

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Mineral

   

Smelter Name

   

Smelter ID

   

Country

   

Status

Tantalum    FIR Metals & Resource Ltd.    CID002505    CHINA    Conformant
Tantalum    Jiujiang Zhongao Tantalum & Niobium Co., Ltd.    CID002506    CHINA    Conformant
Tantalum    XinXing HaoRong Electronic Material Co., Ltd.    CID002508    CHINA    Conformant
Tantalum    Jiangxi Dinghai Tantalum & Niobium Co., Ltd.    CID002512    CHINA    Conformant
Tantalum    KEMET Blue Metals    CID002539    MEXICO    Conformant
Tantalum    H.C. Starck Co., Ltd.    CID002544    THAILAND    Conformant
Tantalum    H.C. Starck Tantalum and Niobium GmbH    CID002545    GERMANY    Conformant
Tantalum    H.C. Starck Hermsdorf GmbH    CID002547    GERMANY    Conformant
Tantalum    H.C. Starck Inc.    CID002548    UNITED STATES OF AMERICA    Conformant
Tantalum    H.C. Starck Ltd.    CID002549    JAPAN    Conformant
Tantalum    H.C. Starck Smelting GmbH & Co. KG    CID002550    GERMANY    Conformant
Tantalum    Global Advanced Metals Boyertown    CID002557    UNITED STATES OF AMERICA    Conformant
Tantalum    Global Advanced Metals Aizu    CID002558    JAPAN    Conformant
Tantalum    KEMET Blue Powder    CID002568    UNITED STATES OF AMERICA    Conformant
Tantalum    Resind Industria e Comercio Ltda.    CID002707    BRAZIL    Conformant
Tantalum    Jiangxi Tuohong New Raw Material    CID002842    CHINA    Conformant
Tantalum    PRG Dooel    CID002847    NORTH MACEDONIA    Conformant
Tin    Chenzhou Yunxiang MinB103:D162ing and Metallurgy Co., Ltd.    CID000228    CHINA    Conformant
Tin    Alpha    CID000292    UNITED STATES OF AMERICA    Conformant
Tin    PT Aries Kencana Sejahtera    CID000309    INDONESIA    Conformant
Tin    CV United Smelting    CID000315    INDONESIA    Conformant
Tin    Dowa    CID000402    JAPAN    Conformant
Tin    EM Vinto    CID000438    BOLIVIA (PLURINATIONAL STATE OF)    Conformant
Tin    Fenix Metals    CID000468    POLAND    Conformant
Tin    Gejiu Non-Ferrous Metal Processing Co., Ltd.    CID000538    CHINA    Conformant
Tin    Gejiu Zili Mining And Metallurgy Co., Ltd.    CID000555    CHINA    Conformant
Tin    Huichang Jinshunda Tin Co., Ltd.    CID000760    CHINA    Conformant
Tin    Gejiu Kai Meng Industry and Trade LLC    CID000942    CHINA    Conformant
Tin    China Tin Group Co., Ltd.    CID001070    CHINA    Conformant
Tin    Malaysia Smelting Corporation (MSC)    CID001105    MALAYSIA    Conformant
Tin    Metallic Resources, Inc.    CID001142    UNITED STATES OF AMERICA    Conformant
Tin    Mineracao Taboca S.A.    CID001173    BRAZIL    Conformant
Tin    Minsur    CID001182    PERU    Conformant
Tin    Mitsubishi Materials Corporation    CID001191    JAPAN    Conformant
Tin    Jiangxi New Nanshan Technology Ltd.    CID001231    CHINA    Conformant
Tin    O.M. Manufacturing (Thailand) Co., Ltd.    CID001314    THAILAND    Conformant
Tin    Operaciones Metalurgicas S.A.    CID001337    BOLIVIA (PLURINATIONAL STATE OF)    Conformant
Tin    PT Bangka Tin Industry    CID001419    INDONESIA    Conformant
Tin    PT Belitung Industri Sejahtera    CID001421    INDONESIA    Conformant
Tin    PT Bukit Timah    CID001428    INDONESIA    Conformant
Tin    PT DS Jaya Abadi    CID001434    INDONESIA    Conformant
Tin    PT Mitra Stania Prima    CID001453    INDONESIA    Conformant
Tin    PT Panca Mega Persada    CID001457    INDONESIA    Conformant
Tin    PT Prima Timah Utama    CID001458    INDONESIA    Conformant
Tin    PT Refined Bangka Tin    CID001460    INDONESIA    Conformant
Tin    PT Sariwiguna Binasentosa    CID001463    INDONESIA    Conformant
Tin    PT Stanindo Inti Perkasa    CID001468    INDONESIA    Conformant
Tin    PT Timah Tbk Kundur    CID001477    INDONESIA    Conformant
Tin    PT Timah Tbk Mentok    CID001482    INDONESIA    Conformant
Tin    PT Tinindo Inter Nusa    CID001490    INDONESIA    Conformant
Tin    PT Tommy Utama    CID001493    INDONESIA    Conformant
Tin    Rui Da Hung    CID001539    TAIWAN, PROVINCE OF CHINA    Conformant
Tin    Soft Metais Ltda.    CID001758    BRAZIL    Conformant
Tin    Thaisarco    CID001898    THAILAND    Conformant
Tin    Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    CID001908    CHINA    Conformant
Tin    White Solder Metalurgia e Mineracao Ltda.    CID002036    BRAZIL    Conformant
Tin    Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    CID002158    CHINA    Conformant
Tin    Yunnan Tin Company Limited    CID002180    CHINA    Conformant
Tin    CV Venus Inti Perkasa    CID002455    INDONESIA    Conformant
Tin    Magnu’s Minerais Metais e Ligas Ltda.    CID002468    BRAZIL    Conformant
Tin    Melt Metais e Ligas S.A.    CID002500    BRAZIL    Conformant
Tin    PT ATD Makmur Mandiri Jaya    CID002503    INDONESIA    Conformant
Tin    O.M. Manufacturing Philippines, Inc.    CID002517    PHILIPPINES    Conformant
Tin    CV Dua Sekawan    CID002592    INDONESIA    Conformant

 

7

Mineral

   

Smelter Name

   

Smelter ID

   

Country

   

Status

Tin    PT Rajehan Ariq    CID002593    INDONESIA    Conformant
Tin    Resind Industria e Comercio Ltda.    CID002706    BRAZIL    Conformant
Tin    Metallo Belgium N.V.    CID002773    BELGIUM    Conformant
Tin    Metallo Spain S.L.U.    CID002774    SPAIN    Conformant
Tin    PT Bangka Prima Tin    CID002776    INDONESIA    Conformant
Tin    Thai Nguyen Mining and Metallurgy Co., Ltd.    CID002834    VIET NAM    Conformant
Tin    PT Menara Cipta Mulia    CID002835    INDONESIA    Conformant
Tin    HuiChang Hill Tin Industry Co., Ltd.    CID002844    CHINA    Conformant
Tin    Gejiu Fengming Metallurgy Chemical Plant    CID002848    CHINA    Conformant
Tin    Guanyang Guida Nonferrous Metal Smelting Plant    CID002849    CHINA    Conformant
Tin    Guangdong Hanhe Non-Ferrous Metal Co., Ltd.    CID003116    CHINA    Conformant
Tin    Chifeng Dajingzi Tin Industry Co., Ltd.    CID003190    CHINA    Conformant
Tin    Tin Technology & Refining    CID003325    UNITED STATES OF AMERICA    Conformant
Tungsten    A.L.M.T. Corp.    CID000004    JAPAN    Conformant
Tungsten    Kennametal Huntsville    CID000105    UNITED STATES OF AMERICA    Conformant
Tungsten    Guangdong Xianglu Tungsten Co., Ltd.    CID000218    CHINA    Conformant
Tungsten    Chongyi Zhangyuan Tungsten Co., Ltd.    CID000258    CHINA    Conformant
Tungsten    Fujian Jinxin Tungsten Co., Ltd.    CID000499    CHINA    Conformant
Tungsten    Global Tungsten & Powders Corp.    CID000568    UNITED STATES OF AMERICA    Conformant
Tungsten    Hunan Chenzhou Mining Co., Ltd.    CID000766    CHINA    Conformant
Tungsten    Hunan Chunchang Nonferrous Metals Co., Ltd.    CID000769    CHINA    Conformant
Tungsten    Japan New Metals Co., Ltd.    CID000825    JAPAN    Conformant
Tungsten    Ganzhou Huaxing Tungsten Products Co., Ltd.    CID000875    CHINA    Conformant
Tungsten    Kennametal Fallon    CID000966    UNITED STATES OF AMERICA    Conformant
Tungsten    Tejing (Vietnam) Tungsten Co., Ltd.    CID001889    VIET NAM    Conformant
Tungsten    Wolfram Bergbau und Hutten AG    CID002044    AUSTRIA    Conformant
Tungsten    Xiamen Tungsten Co., Ltd.    CID002082    CHINA    Conformant
Tungsten    Xinhai Rendan Shaoguan Tungsten Co., Ltd.    CID002095    CHINA    Conformant
Tungsten    Ganzhou Jiangwu Ferrotungsten Co., Ltd.    CID002315    CHINA    Conformant
Tungsten    Jiangxi Yaosheng Tungsten Co., Ltd.    CID002316    CHINA    Conformant
Tungsten    Jiangxi Xinsheng Tungsten Industry Co., Ltd.    CID002317    CHINA    Conformant
Tungsten    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    CID002318    CHINA    Conformant
Tungsten    Malipo Haiyu Tungsten Co., Ltd.    CID002319    CHINA    Conformant
Tungsten    Xiamen Tungsten (H.C.) Co., Ltd.    CID002320    CHINA    Conformant
Tungsten    Jiangxi Gan Bei Tungsten Co., Ltd.    CID002321    CHINA    Conformant
Tungsten    Ganzhou Seadragon W & Mo Co., Ltd.    CID002494    CHINA    Conformant
Tungsten    Asia Tungsten Products Vietnam Ltd.    CID002502    VIET NAM    Conformant
Tungsten    Chenzhou Diamond Tungsten Products Co., Ltd.    CID002513    CHINA    Conformant
Tungsten    H.C. Starck Tungsten GmbH    CID002541    GERMANY    Conformant
Tungsten    H.C. Starck Smelting GmbH & Co. KG    CID002542    GERMANY    Conformant
Tungsten    Masan Tungsten Chemical LLC (MTC)    CID002543    VIET NAM    Conformant
Tungsten    Jiangwu H.C. Starck Tungsten Products Co., Ltd.    CID002551    CHINA    Conformant
Tungsten    Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji    CID002579    CHINA    Conformant
Tungsten    Niagara Refining LLC    CID002589    UNITED STATES OF AMERICA    Conformant
Tungsten    Ganzhou Haichuang Tungsten Co., Ltd.    CID002645    CHINA    Conformant
Tungsten    Hydrometallurg, JSC    CID002649    RUSSIAN FEDERATION    Conformant
Tungsten    Unecha Refractory metals plant    CID002724    RUSSIAN FEDERATION    Conformant
Tungsten    Philippine Chuangxin Industrial Co., Inc.    CID002827    PHILIPPINES    Conformant
Tungsten    Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.    CID002830    CHINA    Conformant
Tungsten    ACL Metais Eireli    CID002833    BRAZIL    Conformant
Tungsten    Woltech Korea Co., Ltd.    CID002843    KOREA, REPUBLIC OF    Conformant
Tungsten    Moliren Ltd.    CID002845    RUSSIAN FEDERATION    Conformant
Tungsten    KGETS Co., Ltd.    CID003388    KOREA, REPUBLIC OF    Conformant

 

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Future Steps to Improve Due Diligence

We have communicated our expectations to our contract manufacturers regarding our commitment to sourcing minerals for our products in a manner that does not finance or benefit armed groups in the Covered Countries. We plan to continue our inquiry method and utilize the CMRT to collect and report on due diligence activities with our supply base. We continue to work with our suppliers to improve the quality and completeness of information collected by using the most updated CMRT form. We will continue to review our supplier responses, provide feedback as necessary, encourage our suppliers to remain committed to conflict-free sources and engage with our relevant suppliers in order to build their knowledge and capacity so they are able to provide us with complete and accurate information on the source and chain of custody of Conflict Minerals in our supply chain.

Conclusion

Based on our due diligence efforts and subject to the limitations of such efforts as detailed above, we conclude the Conflict Minerals contained in our Covered Products come from suppliers using smelters or refiners listed as conformant by RMI.

Additional Risk Factors

The statements above are based on the RCOI process and due diligence performed in good faith by Rambus. These statements are based on the infrastructure and information available at the time. A number of factors could introduce errors or otherwise affect our Conflict Minerals status. These factors include, but are not limited to, gaps in supplier data, gaps in smelter data, errors or omissions by suppliers, errors or omissions by smelters, smelter classifications, all instances of Conflict Minerals necessary to the functionality or manufacturing of our products possibly not yet having been identified, gaps in supplier education and knowledge, timeliness of data, public information not discovered during a reasonable search, errors in public data, language barriers and translation, supplier and smelter unfamiliarity with the protocol, oversights or errors in conflict free smelter audits, Covered Countries sourced materials being declared secondary materials, companies going out of business, certification programs being not equally advanced for all industry segments and metals, and smuggling of Conflict Minerals from the Covered Countries to countries beyond the Covered Countries.

Forward-looking Statements

This Conflict Minerals Report contains forward-looking statements. These statements include statements regarding steps we intend to examine to further mitigate risk. We also use words such as “believe,” “expect,” “future,” “intend” and similar expressions to identify forward-looking statements. All forward-looking statements involve risk and uncertainty. When considering these statements, you should also consider the important factors described in this Conflict Minerals Report under the heading “Additional Risk Factors” and in the reports and documents we file from time to time with the SEC, including the factors described under the sections titled “Risk Factors” in our most recently submitted Annual and Quarterly Reports on Forms 10-K and 10-Q, respectively. Except as required by law, we disclaim any obligation to update information contained in these forward-looking statements whether as a result of new information, future events, or otherwise.

 

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