Exhibit 1.01
MoSys, Inc.
Conflict Minerals Report
For the year ended December 31, 2020
This is the Conflict Minerals Report of MoSys, Inc. (MoSys or the Company) for the reporting period January 1, 2020 to December 31, 2020 is provided in accordance with Rule 13p-1 under the Securities Exchange Act of 1934, as amended (“Rule 13p-1”). 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 tantalum, tin 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 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 3TG originating from the Covered Countries. |
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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 originate from the Covered Countries.
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 | 8853 S.p.A. | CID002763 |
Gold | Advanced Chemical Company | CID000015 |
Gold | Aida Chemical Industries Co., Ltd. | CID000019 |
Gold | Al Etihad Gold Refinery DMCC | 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 |
Gold | Asaka Riken Co., Ltd. | CID000090 |
Mineral | Smelter or Refiner Facility Name | Smelter ID |
Gold | AU Traders and Refiners | CID002850 |
Gold | Aurubis AG | CID000113 |
Gold | Bangalore Refinery | CID002863 |
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 | Chugai Mining | CID000264 |
Gold | DODUCO Contacts and Refining GmbH | CID000362 |
Gold | Dowa | CID000401 |
Gold | DS PRETECH Co., Ltd. | CID003195 |
Gold | DSC (Do Sung Corporation) | CID000359 |
Gold | Eco-System Recycling Co., Ltd. East Plant | CID000425 |
Gold | Eco-System Recycling Co., Ltd. North Plant | CID003424 |
Gold | Eco-System Recycling Co., Ltd. West Plant | CID003425 |
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 Novosibirsk Refinery | CID000493 |
Gold | JSC Uralelectromed | CID000929 |
Gold | JX Nippon Mining & Metals Co., Ltd. | CID000937 |
Gold | Kazzinc | CID000957 |
Gold | Kennecott Utah Copper LLC | CID000969 |
Gold | KGHM Polska Miedz Spolka Akcyjna | CID002511 |
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 | LT Metal Ltd. | CID000689 |
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 | Navoi Mining and Metallurgical Combinat | CID001236 |
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 |
Mineral | Smelter or Refiner Facility Name | Smelter ID |
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 PMR B.V. | CID002582 |
Gold | Royal Canadian Mint | CID001534 |
Gold | SAAMP | CID002761 |
Gold | Safimet S.p.A | CID002973 |
Gold | SAFINA A.S. | CID002290 |
Gold | Sam Duck Precious Metals | CID001555 |
Gold | SAXONIA Edelmetalle GmbH | CID002777 |
Gold | SEMPSA Joyeria Plateria S.A. | CID001585 |
Gold | Shandong Gold Smelting Co., Ltd. | CID001916 |
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 | TOO Tau-Ken-Altyn | CID002615 |
Gold | Torecom | CID001955 |
Gold | TSK PRETECH Co., Ltd. | CID003195 |
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 | Asaka Riken Co., Ltd | CID000092 |
Tantalum | Changsha South Tantalum Niobium Co., Ltd. | CID000211 |
Tantalum | D Block Metals, LLC | CID002504 |
Tantalum | Exotech Inc. | CID000456 |
Tantalum | F&X Electro-Materials Ltd. | CID000460 |
Tantalum | FIR Metals & Resource Ltd. | CID002505 |
Tantalum | Global Advanced Metals Aizu | CID002558 |
Tantalum | Global Advanced Metals Boyertown | CID002557 |
Tantalum | Guangdong Rising Rare Metals-EO Materials Ltd. | CID000291 |
Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | CID000616 |
Tantalum | H.C. Starck Co., Ltd. | CID002544 |
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 | H.C. Starck Tantalum and Niobium GmbH | CID002545 |
Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CID002492 |
Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CID002512 |
Tantalum | Jiangxi Tuohong New Raw Material | CID002842 |
Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CID000914 |
Tantalum | Jiujiang Tanbre Co., Ltd. | CID000917 |
Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CID002506 |
Tantalum | KEMET Blue Metals | CID002539 |
Tantalum | KEMET Blue Powder | CID002568 |
Tantalum | LSM Brasil S.A. | CID001076 |
Tantalum | Meta Materials | CID002847 |
Tantalum | Metallurgical Products India Pvt., Ltd. | CID001163 |
Mineral | Smelter or Refiner Facility Name | Smelter ID |
Tantalum | Mineracao Taboca S.A. | CID001175 |
Tantalum | Mitsui Mining and Smelting Co., Ltd. | CID001192 |
Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CID001277 |
Tantalum | NPM Silmet AS | CID001200 |
Tantalum | Power Resources Ltd. | CID002847 |
Tantalum | QuantumClean | CID001508 |
Tantalum | Resind Industria e Comercio Ltda. | CID002707 |
Tantalum | RFH Tantalum Smeltery Co., Ltd/Yanling Jincheng Tantalum & Niobium Co., Ltd. | CID001522 |
Tantalum | Solikamsk Magnesium Works OAO | CID001769 |
Tantalum | Taki Chemical Co., Ltd | CID001869 |
Tantalum | TANIOBIS Co., Ltd | CID002544 |
Tantalum | TANIOBIS GmbH & Co. KG | CID002550 |
Tantalum | TANIOBIS GmbH | CID002545 |
Tantalum | TANIOBIS Japan Co., Ltd | CID002549 |
Tantalum | Telex Metals | CID001891 |
Tantalum | Ulba Metallurgical Plant JSC | CID001969 |
Tantalum | Ximei Resources (Guangdong) Limited | CID000616 |
Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | CID002508 |
Tantalum | Yanling Jincheng Tantalum & Niobium Co., Ltd. | CID001522 |
Tin | Alpha | CID000292 |
Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CID000228 |
Tin | Chifeng Dajingzi Tin Industry Co., Ltd | CID003190 |
Tin | China Tin Group Co., Ltd. | CID001070 |
Tin | CV United Smelting | CID000315 |
Tin | Dowa | CID000402 |
Tin | EM Vinto | CID000438 |
Tin | Fenix Metals | CID000468 |
Tin | Gejiu Fengming Metallurgy Chemical Plant | CID002848 |
Tin | Gejiu Kai Meng Industry and Trade LLC | CID000942 |
Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CID000538 |
Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CID001908 |
Tin | Gejiu Zili Mining and Metallurgy Co., Ltd. | CID000555 |
Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | CID003116 |
Tin | Guanyang Guida Nonferrous Metal Smelting Plant | CID002849 |
Tin | HuiChang Hill Tin Industry Co., Ltd. | CID002844 |
Tin | Huichang Jinshunda Tin Co., Ltd. | CID000760 |
Tin | Jiangxi New Nanshan Technology Ltd. | CID001231 |
Tin | Luna Smelter, Ltd. | CID003387 |
Tin | Ma’anshan Weitai Tin Co., Ltd. | CID003379 |
Tin | Magnu’s Minerais Metais e Ligas Ltda. | CID002468 |
Tin | Malaysia Smelting Corporation (MSC) | CID001105 |
Tin | Melt Metais e Ligas S.A. | CID002500 |
Tin | Metallic Resources, Inc. | CID001142 |
Tin | Metallo Belgium N.V. | CID002773 |
Tin | Metallo Spain S.L.U. | CID002774 |
Tin | Mineracao Taboca S.A. | CID001173 |
Tin | Minsur | CID001182 |
Tin | Mitsubishi Materials Corporation | CID001191 |
Tin | O.M. Manufacturing (Thailand) Co., Ltd. | CID001314 |
Tin | O.M. Manufacturing Philippines, Inc. | CID002517 |
Tin | Operaciones Metalurgicas S.A. | CID001337 |
Tin | PT Artha Cipta Langgeng | CID001399 |
Tin | PT ATD Makmur Mandiri Jaya | CID002503 |
Tin | PT Babel Surya Alam Lestari | CID001406 |
Tin | PT Bangka Serumpun | CID003205 |
Tin | PT Bukit Timah | CID001428 |
Tin | PT Menara Cipta Mulia | CID002835 |
Tin | PT Mitra Stania Prima | CID001453 |
Tin | PT Prima Timah Utama | CID001458 |
Tin | PT Rajawali Rimba Perkasa | CID003381 |
Tin | PT Rajehan Ariq | CID002593 |
Tin | PT Refined Bangka Tin | CID001460 |
Tin | PT Stanindo Inti Perkasa | CID001468 |
Tin | PT Timah Tbk Kundur | CID001477 |
Mineral | Smelter or Refiner Facility Name | Smelter ID |
Tin | PT Timah Tbk Mentok | CID001482 |
Tin | Resind Industria e Comercio Ltda. | CID002706 |
Tin | Rui Da Hung | CID001539 |
Tin | Soft Metais Ltda. | CID001758 |
Tin | Thai Nguyen Mining and Metallurgy Co., Ltd. | CID002834 |
Tin | Thaisarco | CID001898 |
Tin | Tin Technology & Refining | CID003325 |
Tin | White Solder Metalurgia e Mineracao Ltda. | CID002036 |
Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CID002158 |
Tin | Yunnan Tin Company Limited | CID002180 |
Tungsten | A.L.M.T. Corp. | CID000004 |
Tungsten | ACL Metais Eireli | CID002833 |
Tungsten | Asia Tungsten Products Vietnam Ltd. | CID002502 |
Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | CID002513 |
Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CID000258 |
Tungsten | Fujian Jinxin Tungsten Co., Ltd. | CID000499 |
Tungsten | Ganzhou Haichuang Tungsten Co. Ltd | CID002645 |
Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | CID000875 |
Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CID002315 |
Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CID002494 |
Tungsten | Global Tungsten & Powders Corp. | CID000568 |
Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CID000218 |
Tungsten | H.C. Starck Smelting GmbH & Co. KG | CID002542 |
Tungsten | H.C. Starck Tungsten GmbH | CID002541 |
Tungsten | Hunan Chenzhou Mining Co., Ltd. | CID000766 |
Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | CID002579 |
Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | CID000769 |
Tungsten | Hydrometallurg, JSC | CID002649 |
Tungsten | Japan New Metals Co., Ltd. | CID000825 |
Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CID002551 |
Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CID002321 |
Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CID002318 |
Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CID002317 |
Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | CID002316 |
Tungsten | Kennametal Fallon | CID000966 |
Tungsten | Kennametal Huntsville | CID000105 |
Tungsten | KGETS Co., Ltd. | CID003388 |
Tungsten | Malipo Haiyu Tungsten Co., Ltd. | CID002319 |
Tungsten | Masan Tungsten Chemical LLC (MTC) | CID002543 |
Tungsten | Moliren Ltd. | CID002845 |
Tungsten | Niagara Refining LLC | CID002589 |
Tungsten | Philippine Chuangxin Industrial Co., Inc. | CID002827 |
Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | CID001889 |
Tungsten | Unecha Refractory metals plant | CID002724 |
Tungsten | Wolfram Bergbau und Hutten AG | CID002044 |
Tungsten | Woltech Korea Co., Ltd. | CID002843 |
Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CID002320 |
Tungsten | Xiamen Tungsten Co., Ltd. | CID002082 |
Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | CID002830 |
Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CID002095 |
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 MoSys’ supply chain and to require that all smelters utilized agree to participate in the RMI or equivalent program.
