Exhibit 1.01
MoSys, Inc.
Conflict Minerals Report
For the year ended December 31, 2018
This is the Conflict Minerals Report of MoSys, Inc. (MoSys or the Company) for calendar year 2018 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 (collectively, 3TG), that originate in the Democratic Republic of the Congo or an adjoining country (collectively, the Covered Countries).
MoSys is a provider of integrated circuits that enable fast, intelligent data access for cloud networking, security, test and video systems. 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 standard Conflict Minerals Reporting Template (the CMRT) designed by the Responsible Minerals Initiative (RMI), which is an initiative of the EICC/GeSi, to identify the smelters and refiners; |
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| • | 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 |
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| • | 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. |
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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:
Mineral | Smelter or Refiner Facility Name | Smelter ID |
Gold | LS-NIKKO Copper Inc. | CID001078 |
Gold | Tanaka Kikinzoku Kogyo K.K. | CID001875 |
Gold | Western Australian Mint (T/a The Perth Mint) | CID002030 |
Gold | Advanced Chemical Company | CID000015 |
Gold | Aida Chemical Industries Co., Ltd. | CID000019 |
Gold | Al Etihad Gold LLC | CID002560 |
Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | CID000035 |
Gold | Almalyk Mining and Metallurgical Complex (AMMC) | CID000041 |
Gold | AngloGold Ashanti Corrego do Sitio Mineracao | CID000058 |
Gold | Argor-Heraeus S.A. | CID000077 |
Gold | Asahi Pretec Corp. | CID000082 |
Gold | Asahi Refining Canada Ltd. | CID000924 |
Gold | Asahi Refining USA Inc. | CID000920 |
Smelter or Refiner Facility Name | Smelter ID | |
Gold | Asaka Riken Co., Ltd. | CID000090 |
Gold | AU Traders and Refiners | CID002850 |
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 | Cendres + Metaux S.A. | CID000189 |
Gold | Chimet S.p.A. | CID000233 |
Gold | Daejin Indus Co., Ltd. | CID000328 |
Gold | DODUCO Contacts and Refining GmbH | CID000362 |
Gold | Dowa | CID000401 |
Gold | DSC (Do Sung Corporation) | CID000359 |
Gold | Eco-System Recycling Co., Ltd. | CID000425 |
Gold | Emirates Gold DMCC | CID002561 |
Gold | Geib Refining Corporation | CID002459 |
Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | CID002243 |
Gold | HeeSung Metal Ltd. | CID000689 |
Gold | Heimerle + Meule GmbH | CID000694 |
Gold | Heraeus Metals Hong Kong Ltd. | 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 | Italpreziosi | CID002765 |
Gold | Japan Mint | CID000823 |
Gold | Jiangxi Copper Co., Ltd. | CID000855 |
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 | Korea Zinc Co., Ltd. | CID002605 |
Gold | Kyrgyzaltyn JSC | CID001029 |
Gold | L'Orfebre S.A. | CID002762 |
Gold | LS-NIKKO Copper Inc. | CID001078 |
Gold | Marsam Metals | CID002606 |
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 (Suzhou) Ltd. | CID001147 |
Gold | Metalor Technologies S.A. | CID001153 |
Gold | Metalor USA Refining Corporation | CID001157 |
Gold | Metalurgica Met-Mex Penoles S.A. De C.V. | CID001161 |
Gold | Mitsubishi Materials Corporation | CID001188 |
Gold | Mitsui Mining and Smelting Co., Ltd. | CID001193 |
Gold | MMTC-PAMP India Pvt., Ltd. | CID002509 |
Gold | Moscow Special Alloys Processing Plant | CID001204 |
Gold | Nadir Metal Rafineri San. Ve Tic. A.S. | CID001220 |
Gold | Nihon Material Co., Ltd. | CID001259 |
Gold | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | CID002779 |
Gold | Ohura Precious Metal Industry Co., Ltd. | CID001325 |
Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | CID001326 |
Gold | OJSC Novosibirsk Refinery | CID000493 |
Gold | PAMP S.A. | CID001352 |
Gold | Planta Recuperadora de Metales SpA | CID002919 |
Gold | Prioksky Plant of Non-Ferrous Metals | CID001386 |
Gold | PT Aneka Tambang (Persero) Tbk | CID001397 |
Gold | PX Precinox S.A. | CID001498 |
Gold | Rand Refinery (Pty) Ltd. | CID001512 |
Gold | Remondis Argentia B.V. | CID002582 |
Gold | Royal Canadian Mint | CID001534 |
Gold | SAAMP | CID002761 |
Smelter or Refiner Facility Name | Smelter ID | |
Gold | Safimet S.p.A | CID002973 |
Gold | Samduck Precious Metals | CID001555 |
Gold | SAXONIA Edelmetalle GmbH | CID002777 |
Gold | SEMPSA Joyeria Plateria S.A. | CID001585 |
Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CID001622 |
Gold | Sichuan Tianze Precious Metals Co., Ltd. | CID001736 |
Gold | Singway Technology Co., Ltd. | CID002516 |
Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | CID001756 |
Gold | Solar Applied Materials Technology Corp. | CID001761 |
Gold | Sumitomo Metal Mining Co., Ltd. | CID001798 |
Gold | SungEel HiMetal Co., Ltd. | CID002918 |
Gold | T.C.A S.p.A | CID002580 |
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 Precious Metals Thailand | CID002314 |
Gold | Umicore S.A. Business Unit Precious Metals Refining | CID001980 |
Gold | United Precious Metal Refining, Inc. | CID001993 |
Gold | Valcambi S.A. | CID002003 |
Gold | Western Australian Mint (T/a The Perth Mint) | CID002030 |
Gold | WIELAND Edelmetalle GmbH | CID002778 |
Gold | Yamakin Co., Ltd. | CID002100 |
Gold | Yokohama Metal Co., Ltd. | CID002129 |
Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CID002224 |
Tantalum | Changsha South Tantalum Niobium Co., Ltd. | CID000211 |
Tantalum | Guangdong Rising Rare Metals-EO Materials Ltd. | CID000291 |
Tantalum | Exotech Inc. | CID000456 |
Tantalum | F&X Electro-Materials Ltd. | CID000460 |
Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CID000914 |
Tantalum | Jiujiang Nonferrous Metals Smelting Company Limited | CID000917 |
Tantalum | Metallurgical Products India Pvt., Ltd. | CID001163 |
Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CID001277 |
Tantalum | Solikamsk Magnesium Works OAO | CID001769 |
Tantalum | Ulba Metallurgical Plant JSC | CID001969 |
Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CID002492 |
Tantalum | D Block Metals, LLC | CID002504 |
Tantalum | H.C. Starck Co., Ltd. | CID002544 |
Tantalum | H.C. Starck Tantalum and Niobium GmbH | CID002545 |
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 |
Tantalum | H.C. Starck GmbH Goslar | CID002545 |
Tantalum | H.C. Starck GmbH Laufenburg | CID002546 |
Tantalum | H.C. Starck Hermsdorf GmbH | CID002547 |
Tantalum | Changsha South Tantalum Niobium Co., Ltd. | CID000211 |
Tantalum | D Block Metals, LLC | CID002504 |
Tantalum | F&X Electro-Materials Ltd. | CID000460 |
Tantalum | FIR Metals & Resource Ltd. | CID002505 |
Tantalum | H.C. Starck Co., Ltd. | CID002544 |
Tantalum | H.C. Starck Hermsdorf GmbH | CID002547 |
Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CID002492 |
Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CID000914 |
Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CID001277 |
Tantalum | Ulba Metallurgical Plant JSC | CID001969 |
Tantalum | Xiamen Tungsten Co., Ltd. | CID002082 |
Tin | Alpha | CID000292 |
Tin | CV United Smelting | CID000315 |
Tin | Dowa | CID000402 |
Tin | EM Vinto | CID000438 |
Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CID000538 |
Smelter or Refiner Facility Name | Smelter ID | |
Tin | China Tin Group Co., Ltd. | CID001070 |
Tin | Malaysia Smelting Corporation (MSC) | CID001105 |
Tin | Mineracao Taboca S.A. | CID001173 |
Tin | Minsur | CID001182 |
Tin | Mitsubishi Materials Corporation | CID001191 |
Tin | O.M. Manufacturing (Thailand) Co., Ltd. | CID001314 |
Tin | Operaciones Metalurgicas S.A. | CID001337 |
Tin | PT Bangka Tin Industry | CID001419 |
Tin | PT Bukit Timah | CID001428 |
Tin | PT DS Jaya Abadi | CID001434 |
Tin | PT Refined Bangka Tin | CID001460 |
Tin | PT Stanindo Inti Perkasa | CID001468 |
Tin | PT Timah Tbk Kundur | CID001477 |
Tin | PT Timah Tbk Mentok | CID001482 |
Tin | PT Tinindo Inter Nusa | CID001490 |
Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CID002158 |
Tin | Yunnan Tin Company Limited | CID002180 |
Tin | Metallo Belgium N.V. | CID002773 |
Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CID000538 |
Tin | Operaciones Metalurgical S.A. | CID001337 |
Tin | PT Stanindo Inti Perkasa | CID001468 |
Tin | Thaisarco | CID001898 |
Tin | Mineracao Taboca S.A. | CID001173 |
Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CID000258 |
Tungsten | Global Tungsten & Powders Corp. | CID000568 |
Tungsten | Japan New Metals Co., Ltd. | CID000825 |
Tungsten | Xiamen Tungsten Co., Ltd. | CID002082 |
Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CID002320 |
Tungsten | H.C. Starck Tungsten 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 | Chongyi Zhangyuan Tungsten Co Ltd | CID000258 |
Tungsten | Hunan Chun-Chang Nonferrous Smelting & Concentrating Co., Ltd. | CID000769 |
Tungsten | Japan New Metals Co., Ltd. | CID000825 |
Tungsten | A.L.M.T. TUNGSTEN Corp. | CID000004 |
Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | CID002513 |
Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | CID000875 |
Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CID002494 |
Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CID000218 |
Tungsten | Japan New Metals Co., Ltd. | CID000825 |
Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CID002321 |
Tungsten | Niagara Refining LLC | CID002589 |
Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | CID002543 |
Tungsten | Xiamen Tungsten Co., Ltd. | CID002082 |
Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CID002095 |
Tungsten | Exotech Inc. | CID000456 |
Tungsten | Hengyang King Xing Lifeng New Materials Co., Ltd. | CID002492 |
The Company has communicated its expectations, as reflected in its Conflict Minerals Policy, to its manufacturing subcontractors and other suppliers. The Company has continued to engage with its suppliers to update their information on the source and chain of custody of conflict minerals in our supply chain and to require that all smelters utilized agree to participate in the RMI or equivalent program.
