EX-1.01 2 d514386dex101.htm EX-1.01 EX-1.01

EXHIBIT 1.01

IXYS CORPORATION

CONFLICT MINERALS REPORT

2016

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 as pulse generators. IXYS determined that its products contained 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.

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.

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) some 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

 

Metal

  

Smelter Name

 

Smelter Country

Gold    Allgemeine Gold-und Silberscheideanstalt A.G.   Germany
Gold    AngloGold Ashanti Córrego do Sítio Mineração   Brazil
Gold    Argor-Heraeus S.A.   Switzerland
Gold    Asahi Pretec Corporation   Japan
Gold    Aurubis AG   Germany
Gold    Boliden AB   Germany
Gold    C. Hafner GmbH + Co. KG   Germany
Gold    CCR Refinery - Glencore Canada Corporation   Canada
Gold    Chimet S.p.A.   Italy
Gold    Dowa   Japan
Gold    Eco-System Recycling Co., Ltd.   Japan
Gold    Heimerle + Meule GmbH   Germany
Gold    Heraeus Ltd. Hong Kong   China
Gold    Heraeus Precious Metals GmbH & Co. KG   Germany
Gold    Ishifuku Metal Industry Co., Ltd.   Japan
Gold    Istanbul Gold Refinery   Turkey
Gold    Johnson Matthey Inc.   United States
Gold    Johnson Matthey Canada   Canada
Gold    JX Nippon Mining & Metals Co., Ltd.   Japan


Gold    Kennecott Utah Copper LLC   United States
Gold    Kojima Chemicals Co., Ltd.   Japan
Gold    LS-NIKKO Copper Inc.   Japan
Gold    Materion   United States
Gold    Matsuda Sangyo Co., Ltd.   Japan
Gold    Metalor Technologies (Hong Kong) Ltd.   China
Gold    Metalor Switzerland   Switzerland
Gold    Metalor USA Refining Corporation   United States
Gold    Mitsubishi Materials Corporation   Japan
Gold    Mitsui Mining and Smelting Co., Ltd.   Japan
Gold    Nihon Material Co., Ltd.   Japan
Gold    Ohura Precious Metal Industry Co., Ltd.   Japan
Gold    PAMP S.A.   Switzerland
Gold    Rand Refinery (Pty) Ltd.   South Africa
Gold    Royal Canadian Mint   Canada
Gold    Shandong Zhaojin Gold & Silver Refinery Co., Ltd.   China
Gold    Solar Applied Materials Technology Corp.   Taiwan
Gold    Sumitomo Metal Mining Co., Ltd.   Japan
Gold    Tanaka kikinzoku kogyo K.k   Japan
Gold    The Refinery of Shandong Gold Mining Co., Ltd.   China
Gold    Tokuriki Honten Co., Ltd.   Japan
Gold    Umicore S.A. Business Unit Precious Metals Refining   Netherlands


Gold    United Precious Metal Refining, Inc.    Belgium
Gold    Valcambi S.A.    Switzerland
Gold    The Perth Mint    Australia
Gold    Zhongyuan Gold Smelter of Zhongjin Gold Corporation    China
Tin    Alpha    United States
Tin    Cooperativa Metalurgica de Rondônia Ltda.    Brazil
Tin    PT Aries Kencana Sejahtera    Malaysia
Tin    CV United Smelting    Malaysia
Tin    EM Vinto    Bolivia
Tin    Fenix Metals    Poland
Tin    Gejiu Non-Ferrous Metal Processing Co., Ltd.    China
Tin    Malaysia Smelting Corporation (MSC)    Malaysia
Tin    Mineração Taboca S.A.    Brazil
Tin    Minsur    Peru
Tin    Mitsubishi Materials Corporation    Japan
Tin    OMSA    Brazil
Tin    PT Artha Cipta Langgeng    Malaysia
Tin    PT Babel Inti Perkasa    Malaysia
Tin    PT Bangka Tin Industry    Malaysia
Tin    PT Belitung Industri Sejahtera    Malaysia
Tin    PT Bukit Timah    Malaysia
Tin    PT DS Jaya Abadi    Malaysia


Tin    PT Eunindo Usaha Mandiri    Malaysia
Tin    PT Mitra Stania Prima    Malaysia
Tin    PT Panca Mega Persada    Malaysia
Tin    PT Prima Timah Utama    Malaysia
Tin    PT Refined Bangka Tin    Malaysia
Tin    PT Sariwiguna Binasentosa    Malaysia
Tin    PT Stanindo Inti Perkasa    Malaysia
Tin    PT Tambang Timah    Malaysia
Tin    PT Timah (Persero) Tbk Mentok    Malaysia
Tin    PT Tinindo Inter Nusa    Malaysia
Tin    Soft Metais Ltda.    Brazil
Tin    Thaisarco    Thailand
Tin    White Solder Metalurgia e Mineração Ltda.    Brazil
Tin    Magnu’s Minerais Metais e Ligas Ltda.    Brazil
Tin    Melt Metais e Ligas S.A.    Brazil
Tin    PT ATD Makmur Mandiri Jaya    Malaysia
Tin    PT Inti Stania Prima    Malaysia
Tin    Metallo-Chimique N.V.    Belgium
Tin    Yunnan Tin Company Limited    China
Tin    O.M. Manufacturing Philippines, Inc.    Philippines
Tungsten    Xiamen Tungsten Co., Ltd.    China
Tungsten    Ganzhou Seadragon W & Mo Co., Ltd.    China
Tungsten    H.C. Starck GmbH    Germany


ANNEX II

 

Sources

BELGIUM

  

BRAZIL

  

CHILE

  

CHINA

  

INDONESIA

  

MALAYSIA

  

PHILIPPINES

  

PERU

  

UNITED STATES