EX-1.01 2 d933819dex101.htm EX-1.01 EX-1.01

Exhibit 1.01

IXYS CORPORATION

CONFLICT MINERALS REPORT

2014

COMPANY OVERVIEW

IXYS Corporation, or IXYS, is a manufacturer of semiconductors, including power semiconductors, mixed-signal integrated circuits and microcontrollers, and of certain electronic systems and subsystems, such pulse generators. IXYS determined that its products contained tantalum, tin, tungsten and gold, collectively defined as conflict minerals, although the conflict minerals vary by product.

In conducting its business, IXYS is several levels removed from the actual mining of conflict minerals. IXYS does not make purchases of raw ore or unrefined conflict minerals and makes no purchases in the Democratic Republic of the Congo or an adjoining country.

REASONABLE COUNTRY OF ORIGIN INQUIRY

IXYS conducted a reasonable country of origin inquiry, or RCOI, to determine whether the conflict minerals necessary to the functionality or production of its products originated in the Democratic Republic of the Congo or an adjoining country or are from recycled or scrap resources. IXYS contacted suppliers of items incorporated in its products or used in its manufacturing that potentially contained conflict minerals, referred to in this Report as a supplier, and asked them to provide information on (1) the conflict minerals contained in each of the items supplied by that supplier and (2) the source of the conflict minerals, including smelter information and location of mines. Each supplier was asked to complete a Conflict Minerals Reporting Template (“CMRT”) in a form issued by the Conflict-Free Sourcing Initiative (“CFSI”). Not all suppliers responded.

DUE DILIGENCE

The due diligence framework applicable to IXYS was 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.

During 2014, the IXYS due diligence exercise included:

1. Submitting a CMRT to each supplier of items potentially containing conflict minerals. That template provided a standardized method for IXYS to use in the collection of representations, statements and data from suppliers relative to the presence, use, source and chain of custody of conflict minerals in supplier items that are incorporated in IXYS products or used in manufacturing. Not all suppliers responded.

2. Submitting the CFSI’s Smelter Reference List, which is a compilation of names and locations of known smelters and refiners, to each supplier of items potentially containing conflict minerals.


3. Comparing smelters identified in the reporting templates against the list of smelter and refining facilities which have been identified as “compliant” by the CFSI. The CFSI program is a voluntary program whereby an independent third party evaluates smelter or refiner procurement activities to determine whether a smelter or refiner has sufficiently demonstrated that all materials processed by that smelter or refiner originated from sources that do not directly or indirectly finance or benefit armed groups in the Democratic Republic of the Congo or an adjoining country.

After the end of 2014, IXYS undertook limited additional due diligence, using similar techniques, to update the information received during the year.

Annex I to this Conflict Minerals Report sets forth a list of smelters and refiners identified through due diligence that IXYS believes may have been used to process conflict minerals contained in IXYS products.

In numerous cases, IXYS received conflicting or incomplete information regarding the facilities utilized to process necessary conflict minerals, as well as insufficient information regarding the mines or sources of origin of those conflict minerals.

Based on the due diligence efforts, IXYS does not have sufficient information to conclusively determine the countries of origin of the conflict minerals in its products or whether the conflict minerals in its products are from recycled or scrap sources. However, based on the information that has been obtained, IXYS believes that the countries of origin of the conflict minerals contained in its products include the countries listed in Annex II below, as well as recycled and scrap sources.

ADDITIONAL RISK FACTORS

The statements included in this Conflict Minerals Report are based on the information available at the time of filing. A number of factors could introduce errors or otherwise affect our statements.

These factors include, but are not limited to: (i) gaps in supplier or smelter data; (ii) errors or omissions by suppliers or smelters; (iii) uncertainty or varied interpretations of the disclosure requirements described in the SEC final rules; (iv) all instances of conflict minerals necessary to the functionality or manufacturing of our products may not yet have been identified; (v) timeliness of data received from our suppliers; (vi) information that is in the public domain may not be discovered; (vii) there may be errors in publicly available information; (viii) language barriers or errors in translation could lead to inaccurate information; (ix) many suppliers and smelters are unfamiliar or uncooperative with the due diligence process and information required to be provided due to this new regulation, which could lead to inaccurate responses; (x) there could be oversights or errors in smelter audits; (xi) materials sourced from the Democratic Republic of the Congo or an adjoining country could be inaccurately declared secondary materials; (xii) difficulties obtaining information from companies that are no longer in business; and (xiii) smuggling of conflict minerals outside the Democratic Republic of the Congo or an adjoining country may make identification of their origin more difficult.


ANNEX I

 

Conflict

Mineral 

   Smelter or Refiner Name     

Country

Location of

Smelter or

Refiner

    
Gold    Argor-Heraeus SA      SWITZERLAND   
Gold    Heraeus Ltd. Hong Kong      HONG KONG   
Gold    Heraeus Precious Metals GmbH & Co. KG      GERMANY   
Gold    Allgemeine Gold-und Silberscheideanstalt A.G.      GERMANY   
Gold    Matsuda Sangyo Co., Ltd.      JAPAN   
Gold    Ohura Precious Metal Industry Co., Ltd      JAPAN   
Gold    Tanaka Kikinzoku Kogyo K.K.      JAPAN   
Gold    Johnson Matthey Inc      United States   
Gold    Metalor USA Refining Corporation      UNITED STATES   
Gold    Umicore Precious Metals Refining      BELGIUM   
Gold    Ohio Precious Metals LLC.      UNITED STATES   
Gold    Shandong Gold Mining (Laizhou)      CHINA   
Tin    Cookson      UNITED STATES   
Tin    H.C. Starck GmbH      GERMANY   
Tin    Emperesa Metalurgica Vinto      BOLIVIA   
Tin    Liuzhou China Tin      CHINA   
Tin    Metallo Chimique      BELGIUM   
Tin    Minsur      PERU   
Tin    PT Bangka Putra Karya      INDONESIA   
Tin    PT Bukit Timah      INDONESIA   
Tin    PT Tambang Timah      INDONESIA   
Tin    PT Timah      INDONESIA   
Tin    Taboca      BRAZIL   
Tin    Thaisarco      THAILAND   
Tin    Yunnan Chengfeng Non-ferrous Metals Co.,Ltd.      CHINA   
Tin    Yunnan Tin Company, Ltd.      CHINA   
Tin    Rui Da Hung      TAIWAN   
Tin    Ketapang      INDONESIA   
Tin    PT Refined Bangka Tin      INDONESIA   
Tin    Guangxi Pinggui PGMA Co. Ltd.      CHINA   
Tin    Soft Metais, Ltda.      BRAZIL   
Tin    Minmetals Ganzhou Tin      CHINA   
Tin    Malaysia Smelting Corporation (MSC)      MALAYSIA   


Conflict

Mineral

   Smelter or Refiner Name     

Country

Location of

Smelter or

Refiner

    
Tin    Thailand Smelting & Refining Co., Ltd      THAILAND   
Tin    Yuntinic Resources      CHINA   
Tin    PT Timah (Persero), Tbk      INDONESIA   
Tungsten    H.C. Starck GmbH      GERMANY   
Tungsten    Xiamen Tungsten Co., Ltd.      CHINA   
Tungsten    Ganzhou Seadragon W & Mo Co., Ltd.      CHINA   
Tungsten    Hunan Chunchang Nonferrous Metals Co., Ltd.      CHINA   
Tantalum    Ningxia Orient Tantalum Industry Co., Ltd.      CHINA   
Tantalum    H.C. Starck GmbH      GERMANY   
Tantalum    Zhuzhou Cement Carbide      CHINA   


ANNEX II

 

BELGIUM
BOLIVIA
BRAZIL
CHINA
GERMANY
INDONESIA
JAPAN
MALAYSIA
PERU
SWITZERLAND
TAIWAN
THAILAND
UNITED STATES