Exhibit 1.01
MoSys, Inc.
Conflict Minerals Report
For the year ended December 31, 2016
This is the Conflict Minerals Report of MoSys, Inc. (MoSys or the Company) for calendar year 2016 in accordance with Rule 13p-1 (Rule 13p-1) under the Securities Exchange Act of 1934. Rule 13p-1 was adopted by the Securities and Exchange Commission 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. Conflict Minerals are defined as columbite-tantalite (coltan), cassiterite, gold, and wolframite, including their derivatives, which are limited to tin, gold, tantalum and tungsten that originate in the Democratic Republic of the Congo or an adjoining country (collectively, the Covered Countries).
MoSys is a provider of integrated circuits used by communications, networking and storage equipment manufacturers. As a fabless semiconductor company, MoSys does not purchase directly from smelters or refineries and must rely upon its manufacturing subcontractors to: i) identify whether 3TG minerals are used in the manufacture of MoSys’ products, ii) identify the sources of 3TG used in the manufacture of MoSys products and iii) declare whether any of the 3TG minerals used is a Conflict Mineral. MoSys has determined that at least one or more of the 3TG is necessary to produce one or more MoSys integrated circuit products. In particular, the Company believes some material used by its foundry to produce the silicon wafers for one or more products contains at least one of the 3TG.
The Company has conducted a good faith reasonable country of origin inquiry regarding the 3TG contained in its products, which inquiry was designed to determine (a) whether any of the 3TG contained in its products originated in the Covered Countries and (b) whether any of the 3TG are from recycled or scrap sources. The Company also exercised due diligence on the chain of custody and source of the 3TG.
MoSys’ due diligence measures were based on the Electronic Industry Citizenship Coalition and Global e-Sustainability (EICC/GeSI) initiative with the smelters and refiners of conflict minerals that provide 3TG to the Company’s suppliers. MoSys’ due diligence measures were comprised of:
· | Conducting a supply-chain survey with direct suppliers of materials containing 3TG using the EICC/GeSI Conflict Minerals Reporting Template to identify the smelters and refiners; |
· | Comparing the smelters and refiners identified in the supply-chain survey against the list of smelter facilities which have been identified as “conflict-free” by programs such as the EICC/GeSI Conflict Free Smelter (CFS) program for 3TG; and |
· | Reviewing direct suppliers’ conflict minerals policies to ensure that they are encouraging their suppliers to not source from refiners, smelters and other suppliers that may use Conflict Minerals. |
Because some of the information provided by MoSys suppliers is incomplete and not all smelters have been identified under the CFS program as conflict-free, MoSys is unable to determine if its products are entirely conflict-free; however, the Company does not have any information indicating that any of the 3TG used by MoSys’ manufacturing subcontractors are Conflict Minerals.
Based on the information provided by the Company’s suppliers and obtained through the due diligence process, set forth below is a list of CFS program-certified conflict-free facilities identified by the Company’s supply chain thus far:
Mineral | Smelter or Refiner Facility Name | Smelter ID |
Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | CID000035 |
Gold | Almalyk Mining and Metallurgical Complex (AMMC) | CID000041 |
Gold | AngloGold Ashanti Córrego do Sítio Mineração | CID000058 |
Gold | Argor-Heraeus SA | CID000077 |
Gold | Asahi Pretec Corporation | CID000082 |
Gold | Asaka Riken Co., Ltd. | CID000090 |
Gold | Aurubis AG | CID000113 |
Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | CID000128 |
Gold | Boliden AB | CID000157 |
Gold | C. Hafner GmbH + Co. KG | CID000176 |
Gold | CCR Refinery - Glencore Canada Corporation | CID000185 |
Gold | Chimet S.p.A. | CID000233 |
Gold | Do Sung Corporation | CID000359 |
Gold | DODUCO GmbH | CID000362 |
Gold | Dowa | CID000401 |
Gold | Eco-System Recycling Co., Ltd. | CID000425 |
Gold | OJSC Novosibirsk Refinery | CID000493 |
Gold | Heimerle + Meule GmbH | CID000694 |
Gold | Heraeus Ltd. Hong Kong | CID000707 |
Gold | Heraeus Precious Metals GmbH & Co. KG | CID000711 |
Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CID000801 |
Gold | Ishifuku Metal Industry Co., Ltd. | CID000807 |
Gold | Istanbul Gold Refinery | CID000814 |
Gold | Japan Mint | CID000823 |
Gold | Jiangxi Copper Co., Ltd. | CID000855 |
Gold | Asahi Refining USA Inc. | CID000920 |
Gold | Asahi Refining Canada Limited | CID000924 |
Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | CID000927 |
Gold | JSC Uralelectromed | CID000929 |
Gold | JX Nippon Mining & Metals Co., Ltd. | CID000937 |
Gold | Kazzinc | CID000957 |
Gold | Kennecott Utah Copper LLC | CID000969 |
Gold | Kojima Chemicals Co., Ltd. | CID000981 |
Gold | Kyrgyzaltyn JSC | CID001029 |
Gold | LS-NIKKO Copper Inc. | CID001078 |
Gold | Materion | CID001113 |
Gold | Matsuda Sangyo Co., Ltd. | CID001119 |
Gold | Metalor Technologies (Hong Kong) Ltd. | CID001149 |
Gold | Metalor Technologies (Singapore) Pte., Ltd. | CID001152 |
Gold | Metalor Technologies SA | CID001153 |
Gold | Metalor USA Refining Corporation | CID001157 |
Gold | Metalúrgica Met-Mex Peñoles S.A. De C.V. | CID001161 |
Gold | Mitsubishi Materials Corporation | CID001188 |
Gold | Mitsui Mining and Smelting Co., Ltd. | CID001193 |
Gold | Moscow Special Alloys Processing Plant | CID001204 |
Gold | Nadir Metal Rafineri San. Ve Tic. A.Ş. | CID001220 |
Gold | Nihon Material Co., Ltd. | CID001259 |
Gold | Elemetal Refining, LLC | CID001322 |
Gold | Ohura Precious Metal Industry Co., Ltd. | CID001325 |
Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | CID001326 |
Gold | PAMP SA | CID001352 |
Gold | Prioksky Plant of Non-Ferrous Metals | CID001386 |
Gold | PT Aneka Tambang (Persero) Tbk | CID001397 |
Gold | PX Précinox S.A. | CID001498 |
Gold | Rand Refinery (Pty) Ltd. | CID001512 |
Gold | Royal Canadian Mint | CID001534 |
Gold | Samduck Precious Metals | CID001555 |
Gold | Schone Edelmetaal B.V. | CID001573 |
Gold | SEMPSA Joyería Platería SA | CID001585 |
Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CID001622 |
Gold | Sichuan Tianze Precious Metals Co., Ltd. | CID001736 |
Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | CID001756 |
Gold | Solar Applied Materials Technology Corp. | CID001761 |
Gold | Sumitomo Metal Mining Co., Ltd. | CID001798 |
Gold | Tanaka Kikinzoku Kogyo K.K. | CID001875 |
Gold | The Refinery of Shandong Gold Mining Co., Ltd. | CID001916 |
Gold | Tokuriki Honten Co., Ltd. | CID001938 |
Gold | Torecom | CID001955 |
Gold | Umicore Brasil Ltda. | CID001977 |
Gold | Umicore SA Business Unit Precious Metals Refining | CID001980 |
Gold | United Precious Metal Refining, Inc. | CID001993 |
Gold | Valcambi SA | CID002003 |
Gold | Western Australian Mint trading as The Perth Mint | CID002030 |
Gold | Yamamoto Precious Metal Co., Ltd. | CID002100 |
Gold | Yokohama Metal Co., Ltd. | CID002129 |
Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CID002224 |
Gold | Zijin Mining Group Co., Ltd. Gold Refinery | CID002243 |
Gold | Umicore Precious Metals Thailand | CID002314 |
Gold | MMTC-PAMP India Pvt., Ltd. | CID002509 |
Gold | Republic Metals Corporation | CID002510 |
Gold | Singway Technology Co., Ltd. | CID002516 |
Gold | T.C.A S.p.A | CID002580 |
Gold | Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH | CID002779 |
Tantalum | Changsha South Tantalum Niobium Co., Ltd. | CID000211 |
Tantalum | Conghua Tantalum and Niobium Smeltry | CID000291 |
Tantalum | Duoluoshan | CID000410 |
Tantalum | Exotech Inc. | CID000456 |
Tantalum | F&X Electro-Materials Ltd. | CID000460 |
Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | CID000616 |
Tantalum | Hi-Temp Specialty Metals, Inc. | CID000731 |
Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CID000914 |
Tantalum | Jiujiang Tanbre Co., Ltd. | CID000917 |
Tantalum | LSM Brasil S.A. | CID001076 |
Tantalum | Metallurgical Products India Pvt., Ltd. | CID001163 |
Tantalum | Mineração Taboca S.A. | CID001175 |
Tantalum | Mitsui Mining & Smelting | CID001192 |
Tantalum | Molycorp Silmet A.S. | CID001200 |
Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CID001277 |
Tantalum | Solikamsk Magnesium Works OAO | CID001769 |
Tantalum | Taki Chemicals | CID001869 |
Tantalum | Telex Metals | CID001891 |
Tantalum | Ulba | CID001969 |
Tantalum | Zhuzhou Cemented Carbide Group Co., Ltd. | CID002232 |
Tantalum | Yichun Jin Yang Rare Metal Co., Ltd. | CID002307 |
Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CID002492 |
Tantalum | D Block Metals, LLC | CID002504 |
Tantalum | FIR Metals & Resource Ltd. | CID002505 |
Tantalum | H.C. Starck Co., Ltd. | CID002544 |
Tantalum | H.C. Starck GmbH Goslar | CID002545 |
Tantalum | H.C. Starck GmbH Laufenburg | CID002546 |
Tantalum | H.C. Starck Hermsdorf GmbH | CID002547 |
Tantalum | H.C. Starck Inc. | CID002548 |
Tantalum | H.C. Starck Ltd. | CID002549 |
Tantalum | H.C. Starck Smelting GmbH & Co.KG | CID002550 |
Tantalum | Global Advanced Metals Boyertown | CID002557 |
Tantalum | Global Advanced Metals Aizu | CID002558 |
Tin | Jiangxi Ketai Advanced Material Co., Ltd. | CID000244 |
Tin | Alpha | CID000292 |
Tin | Cooperativa Metalurgica de Rondônia Ltda. | CID000295 |
Tin | CV Gita Pesona | CID000306 |
Tin | PT Aries Kencana Sejahtera | CID000309 |
Tin | CV Serumpun Sebalai | CID000313 |
Tin | CV United Smelting | CID000315 |
Tin | Dowa | CID000402 |
Tin | EM Vinto | CID000438 |
Tin | Fenix Metals | CID000468 |
Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CID000538 |
Tin | China Tin Group Co., Ltd. | CID001070 |
Tin | Malaysia Smelting Corporation (MSC) | CID001105 |
Tin | Metallic Resources, Inc. | CID001142 |
Tin | Mineração Taboca S.A. | CID001173 |
Tin | Minsur | CID001182 |
Tin | Mitsubishi Materials Corporation | CID001191 |
Tin | O.M. Manufacturing (Thailand) Co., Ltd. | CID001314 |
Tin | Operaciones Metalurgical S.A. | CID001337 |
Tin | PT Artha Cipta Langgeng | CID001399 |
Tin | PT Babel Inti Perkasa | CID001402 |
Tin | PT Bangka Tin Industry | CID001419 |
Tin | PT Belitung Industri Sejahtera | CID001421 |
Tin | PT Bukit Timah | CID001428 |
Tin | PT DS Jaya Abadi | CID001434 |
Tin | PT Eunindo Usaha Mandiri | CID001438 |
Tin | PT Mitra Stania Prima | CID001453 |
Tin | PT Panca Mega Persada | CID001457 |
Tin | PT Prima Timah Utama | CID001458 |
Tin | PT Refined Bangka Tin | CID001460 |
Tin | PT Sariwiguna Binasentosa | CID001463 |
Tin | PT Stanindo Inti Perkasa | CID001468 |
Tin | PT Sumber Jaya Indah | CID001471 |
Tin | PT Timah (Persero) Tbk Kundur | CID001477 |
Tin | PT Timah | CID001482 |
Tin | PT Tinindo Inter Nusa | CID001490 |
Tin | PT Tommy Utama | CID001493 |
Tin | Rui Da Hung | CID001539 |
Tin | Soft Metais Ltda. | CID001758 |
Tin | Thaisarco | CID001898 |
Tin | VQB Mineral and Trading Group JSC | CID002015 |
Tin | White Solder Metalurgia e Mineração Ltda. | CID002036 |
Tin | Yunnan Tin Company, Ltd. | CID002180 |
Tin | CV Venus Inti Perkasa | CID002455 |
Tin | Magnu's Minerais Metais e Ligas Ltda. | CID002468 |
Tin | Melt Metais e Ligas S.A. | CID002500 |
Tin | PT ATD Makmur Mandiri Jaya | CID002503 |
Tin | O.M. Manufacturing Philippines, Inc. | CID002517 |
Tin | PT Inti Stania Prima | CID002530 |
Tin | CV Ayi Jaya | CID002570 |
Tin | PT Cipta Persada Mulia | CID002696 |
Tin | Resind Indústria e Comércio Ltda. | CID002706 |
Tin | Metallo-Chimique N.V. | CID002773 |
Tin | Elmet S.L.U. | CID002774 |
Tin | PT Bangka Prima Tin | CID002776 |
Tin | PT Sukses Inti Makmur | CID002816 |
Tin | PT Menara Cipta Mulia | CID002835 |
Tungsten | A.L.M.T. TUNGSTEN Corp. | CID000004 |
Tungsten | Kennametal Huntsville | CID000105 |
Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CID000218 |
Tungsten | Chongyi Zhangyuan Tungsten Co Ltd | CID000258 |
Tungsten | Fujian Jinxin Tungsten Co., Ltd. | CID000499 |
Tungsten | Global Tungsten & Powders Corp. | CID000568 |
Tungsten | Hunan Chenzhou Mining Co., Ltd. | CID000766 |
Tungsten | Hunan Chun-Chang Nonferrous Smelting & Concentrating Co., Ltd. | CID000769 |
Tungsten | Japan New Metals Co., Ltd. | CID000825 |
Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | CID000875 |
Tungsten | Kennametal Fallon | CID000966 |
Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | CID001889 |
Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd. | CID002011 |
Tungsten | Wolfram Bergbau und Hütten AG | CID002044 |
Tungsten | Xiamen Tungsten Co., Ltd. | CID002082 |
Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CID002095 |
Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CID002315 |
Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | CID002316 |
Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CID002317 |
Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CID002318 |
Tungsten | Malipo Haiyu Tungsten Co., Ltd. | CID002319 |
Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CID002320 |
Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CID002321 |
Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CID002494 |
Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | CID002513 |
Tungsten | H.C. Starck GmbH | CID002541 |
Tungsten | H.C. Starck Smelting GmbH & Co.KG | CID002542 |
Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | CID002543 |
Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CID002551 |
Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | CID002579 |
Tungsten | Niagara Refining LLC | CID002589 |
Tungsten | Hydrometallurg, JSC | CID002649 |
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During the reporting period for the year ending December 31, 2017, the Company intends to continue to take the following steps to mitigate the risk that necessary Conflict Minerals will benefit armed groups and improve its due diligence: (a) encourage its supply chain to transition to compliant smelters and refiners and (b) work with suppliers to improve the content of their survey responses and provide written confirmations as to their due diligence process.
