EX-1.01 2 a2018formsdex.htm EXHIBIT 1.01 Exhibit

Exhibit 1.01

a2018formsdexhibit1image1.gif

Conflict Minerals Report of Amkor Technology, Inc.

All information contained in this Conflict Minerals Report (the “Report”), other than statements of historical fact, constitute forward-looking statements within the meaning of federal securities laws. These forward-looking statements involve a number of risks, uncertainties, assumptions and other factors including, among other things, our customers’ requirements to use certain suppliers, our suppliers’ responsiveness and cooperation with our due diligence efforts, our ability to implement improvements in our conflict minerals program, changes to the sourcing status of smelters and refiners in our supply chain, and our ability to identify and mitigate related risks in our supply chain. For a more complete discussion of these and other risk factors, see our other filings with the Securities and Exchange Commission (“SEC”), including our Annual Report on Form 10-K for the year ended December 31, 2018. We undertake no obligation to review or update any forward-looking statements to reflect events or circumstances occurring after filing this Report with the SEC.

This Conflict Minerals Report (CMR) of Amkor Technology, Inc. (“Amkor”) for calendar year 2018 was prepared in accordance with Rule 13p-1 under the Securities Exchange Act of 1934.

Business Overview

Amkor is one of the world’s leading providers of outsourced semiconductor packaging and test services. Packaging is the processing of bare die, a small block of semiconducting material on which a functional circuit is fabricated, to facilitate electrical connections, heat dissipation and protection of the die. Some of the materials we use when providing packaging services contain tantalum, tin, tungsten, or gold (“Conflict Minerals”). Test services involve checking that a packaged die meets its design and performance specifications and do not involve the use of Conflict Minerals.

The mineral supply chain that provides us with Conflict Minerals is divided into upstream and downstream entities. An upstream entity is between the mine of origin and the smelter or refiner and includes miners, local traders, exporters from the country of mineral origin, international concentrate traders, mineral reprocessors, smelters, and refiners. A downstream entity is between the smelter or refiner and the retailer and includes metal traders and exchanges, component manufacturers, product manufacturers, original equipment manufacturers, and retailers.

 
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Amkor is a downstream entity and is typically several tiers removed from the smelter or refiner and mineral origin. We have limited visibility beyond our direct suppliers to entities within the supply chain. Therefore, we rely principally on our direct suppliers to provide us with sourcing information.

Due Diligence Overview

We undertook due diligence on the source and chain of custody of the Conflict Minerals we use when providing packaging services using tools and relying on information provided by the Responsible Minerals Initiative (RMI), an industry group that works to address Conflict Minerals issues within supply chains. One RMI tool we used was the Conflict Minerals Reporting Template (CMRT), which facilitates the collection of information on the source of Conflict Minerals. We also relied on information from the Responsible Minerals Assurance Process (RMAP), a voluntary initiative managed by the RMI, in which an independent third party validates the conflict minerals management procedures of a smelter or refiner to determine, with reasonable confidence, that the minerals it processes were sourced responsibly. Upon completion of a successful audit, the smelter or refiner is designated by the RMI as “Conformant”.

Due Diligence Design

We designed our due diligence to conform to an internationally recognized due diligence framework, the Organisation for Economic Co-operation and Development (OECD), Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, Third Edition, and related supplements on Tin, Tantalum and Tungsten and on Gold (collectively, the “OECD Framework”).

Due Diligence Performed

The OECD Framework provides a five-step outline for risk-based due diligence in the mineral supply chain. Using the OECD Framework, we list below the actions taken to exercise due diligence on the source of Conflict Minerals we used when providing packaging services.

Step 1 - Establish Strong Management Systems

Adopted and revised as needed our Conflict Minerals Policy, which states our goal to achieve a conformant supply chain and is located on the “About Us” tab of www.amkor.com, under “Social Responsibility”.

 
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Maintained an internal team to implement our Conflict Minerals Policy, which includes members from the Procurement, Legal, Internal Audit and Quality Assurance teams, and reported program activities to Executive Management.
Updated processes and procedures as appropriate to meet the requirements of our Conflict Minerals Policy.
Enforced the requirement that our direct suppliers undertake due diligence to achieve a conformant supply chain.
Kept our retention practice for records related to the sourcing of Conflict Minerals.
Continued our existing grievance system where suppliers can raise a question or make a report on ethical or legal issues, including issues relating to Conflict Minerals.

Step 2 - Identify and Assess Risks in the Supply Chain

Conducted a supply chain survey of our direct suppliers of Conflict Minerals using the CMRT to identify the smelters, refiners and/or mines of origin of Conflict Minerals.
Compared smelters, refiners and/or mines of origin identified by our direct suppliers against the list of smelters, refiners and mineral sourcing information that have received a “Conformant” designation by the RMAP.
Performed on-site reviews of select suppliers to evaluate the reasonableness of responses received and alignment with the OECD Framework.

Step 3 - Design and Implement a Strategy to Respond to Identified Risks

Updated our annual risk management plan designed to mitigate the risk that our direct suppliers do not meet our expectations to achieve a conformant supply chain.
Conducted training and held periodic communications with our direct suppliers to increase awareness of our goal to achieve a conflict free supply chain and to reduce the risk of inaccurate information received from our suppliers.
Contacted a portion of smelters and refiners within our supply chain to encourage them to maintain their participation in the RMAP or industry equivalent. Our outreach efforts included meetings with select smelters and industry associations.
Reported information on the source and chain of custody of conflict minerals in our supply chain to Executive Management.


 
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Step 4 - Carry Out Independent Third-party Audits of Smelter/Refiner’s Due Diligence Practices

Maintained our membership in the RMI an industry group that has implemented the RMAP to carry out independent Third-party Audits of a Smelter/Refiner’s Conflict Minerals Management Practices. As a member, we have relied on the results of the RMAP to provide smelter, refiner, and mineral sourcing information on the Conflict Minerals we used when providing packaging services.

Step 5 - Report Annually on Supply Chain Due Diligence

Published the results of our supply chain due diligence within our 2018 Form SD and Conflict Minerals Report, which is located on the “Investors” tab of www.amkor.com under “Financial Information à SEC Filings”.

Due Diligence Results

The results of our due diligence indicate that the sources of Conflict Minerals are (1) from recycled or scrap materials, (2) from within the Democratic Republic of the Congo or adjoining countries (the “Covered Countries”), or (3) from outside the Covered Countries. We received responses from all our direct suppliers subject to our supply chain survey for 2018. Collectively, their responses listed 248 smelters and refiners within their supply chains as of December 31, 2018, all of which have been designated as Conformant under the RMAP as of December 31, 2018.

The following tables list the population of smelters, refiners, and origin of Conflict Minerals within our supply chain for 2018. Our efforts to determine this population are described above under the caption “Due Diligence Performed”. The information presented is derived from information provided by our direct suppliers and the RMI.


 
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Smelters and Refiners Processing Conflict Minerals
Mineral
Smelter and Refiner Name
Country Location
Gold
Advanced Chemical Company
United States of America
Gold
Aida Chemical Industries Co., Ltd.
Japan
Gold
Al Etihad Gold LLC
United Arab Emirates
Gold
Allgemeine Gold-und Silberscheideanstalt A.G.
Germany
Gold
Almalyk Mining and Metallurgical Complex (AMMC)
Uzbekistan
Gold
AngloGold Ashanti Corrego do Sitio Mineracao
Brazil
Gold
Argor-Heraeus S.A.
Switzerland
Gold
Asahi Pretec Corp.
Japan
Gold
Asahi Refining Canada Ltd.
Canada
Gold
Asahi Refining USA Inc.
United States of America
Gold
Asaka Riken Co., Ltd.
Japan
Gold
AU Traders and Refiners
South Africa
Gold
Aurubis AG
Germany
Gold
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
Philippines
Gold
Boliden AB
Sweden
Gold
C. Hafner GmbH + Co. KG
Germany
Gold
CCR Refinery - Glencore Canada Corporation
Canada
Gold
Cendres + Metaux S.A.
Switzerland
Gold
Chimet S.p.A.
Italy
Gold
Daejin Indus Co., Ltd.
Korea, Republic of
Gold
DODUCO Contacts and Refining GmbH
Germany
Gold
Dowa
Japan
Gold
DSC (Do Sung Corporation)
Korea, Republic of
Gold
Eco-System Recycling Co., Ltd.
Japan
Gold
Emirates Gold DMCC
United Arab Emirates
Gold
Geib Refining Corporation
United States of America
Gold
Gold Refinery of Zijin Mining Group Co., Ltd.
China
Gold
HeeSung Metal Ltd.
Korea, Republic of
Gold
Heimerle + Meule GmbH
Germany
Gold
Heraeus Metals Hong Kong Ltd.
China

 
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Smelters and Refiners Processing Conflict Minerals
Gold
Heraeus Precious Metals GmbH & Co. KG
Germany
Gold
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.
China
Gold
Ishifuku Metal Industry Co., Ltd.
Japan
Gold
Istanbul Gold Refinery
Turkey
Gold
Italpreziosi
Italy
Gold
Japan Mint
Japan
Gold
Jiangxi Copper Co., Ltd.
China
Gold
JSC Uralelectromed
Russia
Gold
JX Nippon Mining & Metals Co., Ltd.
Japan
Gold
Kazzinc
Kazakhstan
Gold
Kennecott Utah Copper LLC
United States of America
Gold
Kojima Chemicals Co., Ltd.
Japan
Gold
Korea Zinc Co., Ltd.
Korea, Republic of
Gold
Kyrgyzaltyn JSC
Kyrgyzstan
Gold
L'Orfebre S.A.
Andorra
Gold
LS-NIKKO Copper Inc.
Korea, Republic of
Gold
Marsam Metals
Brazil
Gold
Materion
United States of America
Gold
Matsuda Sangyo Co., Ltd.
Japan
Gold
Metalor Technologies (Hong Kong) Ltd.
China
Gold
Metalor Technologies (Singapore) Pte., Ltd.
Singapore
Gold
Metalor Technologies (Suzhou) Ltd.
China
Gold
Metalor Technologies S.A.
Switzerland
Gold
Metalor USA Refining Corporation
United States of America
Gold
Metalurgica Met-Mex Penoles S.A. De C.V.
Mexico
Gold
Mitsubishi Materials Corporation
Japan
Gold
Mitsui Mining and Smelting Co., Ltd.
Japan
Gold
MMTC-PAMP India Pvt., Ltd.
India
Gold
Moscow Special Alloys Processing Plant
Russia
Gold
Nadir Metal Rafineri San. Ve Tic. A.S.
Turkey
Gold
Nihon Material Co., Ltd.
Japan

 
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Smelters and Refiners Processing Conflict Minerals
Gold
Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH
Austria
Gold
Ohura Precious Metal Industry Co., Ltd.
Japan
Gold
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)
Russia
Gold
OJSC Novosibirsk Refinery
Russia
Gold
PAMP S.A.
Switzerland
Gold
Planta Recuperadora de Metales SpA
Chile
Gold
Prioksky Plant of Non-Ferrous Metals
Russia
Gold
PT Aneka Tambang (Persero) Tbk
Indonesia
Gold
PX Precinox S.A.
Switzerland
Gold
Rand Refinery (Pty) Ltd.
South Africa
Gold
Remondis Argentia B.V.
Netherlands
Gold
Royal Canadian Mint
Canada
Gold
SAAMP
France
Gold
Safimet S.p.A
Italy
Gold
Samduck Precious Metals
Korea, Republic of
Gold
SAXONIA Edelmetalle GmbH
Germany
Gold
SEMPSA Joyeria Plateria S.A.
Spain
Gold
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
China
Gold
Sichuan Tianze Precious Metals Co., Ltd.
China
Gold
Singway Technology Co., Ltd.
Taiwan
Gold
SOE Shyolkovsky Factory of Secondary Precious Metals
Russia
Gold
Solar Applied Materials Technology Corp.
Taiwan
Gold
Sumitomo Metal Mining Co., Ltd.
Japan
Gold
SungEel HiMetal Co., Ltd.
Korea, Republic of
Gold
T.C.A S.p.A
Italy
Gold
Tanaka Kikinzoku Kogyo K.K.
Japan
Gold
The Refinery of Shandong Gold Mining Co., Ltd.
China
Gold
Tokuriki Honten Co., Ltd.
Japan
Gold
Torecom
Korea, Republic of
Gold
Umicore Brasil Ltda.
Brazil

 
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Smelters and Refiners Processing Conflict Minerals
Gold
Umicore Precious Metals Thailand
Thailand
Gold
Umicore S.A. Business Unit Precious Metals Refining
Belgium
Gold
United Precious Metal Refining, Inc.
United States of America
Gold
Valcambi S.A.
Switzerland
Gold
Western Australian Mint (T/a The Perth Mint)
Australia
Gold
WIELAND Edelmetalle GmbH
Germany
Gold
Yamakin Co., Ltd.
Japan
Gold
Yokohama Metal Co., Ltd.
Japan
Gold
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
China
Tantalum
Asaka Riken Co., Ltd.
Japan
Tantalum
Changsha South Tantalum Niobium Co., Ltd.
China
Tantalum
D Block Metals, LLC
United States of America
Tantalum
Exotech Inc.
United States of America
Tantalum
F&X Electro-Materials Ltd.
China
Tantalum
FIR Metals & Resource Ltd.
China
Tantalum
Global Advanced Metals Aizu
Japan
Tantalum
Global Advanced Metals Boyertown
United States of America
Tantalum
Guangdong Rising Rare Metals-EO Materials Ltd.
China
Tantalum
Guangdong Zhiyuan New Material Co., Ltd.
China
Tantalum
H.C. Starck Co., Ltd.
Thailand
Tantalum
H.C. Starck Hermsdorf GmbH
Germany
Tantalum
H.C. Starck Inc.
United States of America
Tantalum
H.C. Starck Ltd.
Japan
Tantalum
H.C. Starck Smelting GmbH & Co. KG
Germany
Tantalum
H.C. Starck Tantalum and Niobium GmbH
Germany
Tantalum
Hengyang King Xing Lifeng New Materials Co., Ltd.
China
Tantalum
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.
China
Tantalum
Jiangxi Tuohong New Raw Material
China
Tantalum
Jiujiang Janny New Material Co., Ltd.
China
Tantalum
JiuJiang JinXin Nonferrous Metals Co., Ltd.
China
Tantalum
Jiujiang Tanbre Co., Ltd.
China
Tantalum
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.
China

 
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Smelters and Refiners Processing Conflict Minerals
Tantalum
KEMET Blue Metals
Mexico
Tantalum
KEMET Blue Powder
United States of America
Tantalum
LSM Brasil S.A.
Brazil
Tantalum
Metallurgical Products India Pvt., Ltd.
India
Tantalum
Mineracao Taboca S.A.
Brazil
Tantalum
Mitsui Mining and Smelting Co., Ltd.
Japan
Tantalum
Ningxia Orient Tantalum Industry Co., Ltd.
China
Tantalum
NPM Silmet AS
Estonia
Tantalum
Power Resources Ltd.
Macedonia
Tantalum
QuantumClean
United States of America
Tantalum
Resind Industria e Comercio Ltda.
Brazil
Tantalum
RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd.
China
Tantalum
Solikamsk Magnesium Works OAO
Russia
Tantalum
Taki Chemical Co., Ltd.
Japan
Tantalum
Telex Metals
United States of America
Tantalum
Ulba Metallurgical Plant JSC
Kazakhstan
Tantalum
XinXing HaoRong Electronic Material Co., Ltd.
China
Tin
Alpha
United States of America
Tin
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.
China
Tin
Chifeng Dajingzi Tin Industry Co., Ltd.
China
Tin
China Tin Group Co., Ltd.
China
Tin
CV Ayi Jaya
Indonesia
Tin
CV Dua Sekawan
Indonesia
Tin
CV Gita Pesona
Indonesia
Tin
CV Tiga Sekawan
Indonesia
Tin
CV United Smelting
Indonesia
Tin
CV Venus Inti Perkasa
Indonesia
Tin
Dowa
Japan
Tin
EM Vinto
Bolivia
Tin
Fenix Metals
Poland
Tin
Gejiu Fengming Metallurgy Chemical Plant
China

 
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Smelters and Refiners Processing Conflict Minerals
Tin
Gejiu Kai Meng Industry and Trade LLC
China
Tin
Gejiu Non-Ferrous Metal Processing Co., Ltd.
China
Tin
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
China
Tin
Guangdong Hanhe Non-Ferrous Metal Co., Ltd.
China
Tin
Guanyang Guida Nonferrous Metal Smelting Plant
China
Tin
HuiChang Hill Tin Industry Co., Ltd.
China
Tin
Huichang Jinshunda Tin Co., Ltd.
China
Tin
Jiangxi New Nanshan Technology Ltd.
China
Tin
Magnu's Minerais Metais e Ligas Ltda.
Brazil
Tin
Malaysia Smelting Corporation (MSC)
Malaysia
Tin
Melt Metais e Ligas S.A.
Brazil
Tin
Metallic Resources, Inc.
United States of America
Tin
Metallo Belgium N.V.
Belgium
Tin
Metallo Spain S.L.U.
Spain
Tin
Mineracao Taboca S.A.
Brazil
Tin
Minsur
Peru
Tin
Mitsubishi Materials Corporation
Japan
Tin
Modeltech Sdn Bhd
Malaysia
Tin
O.M. Manufacturing (Thailand) Co., Ltd.
Thailand
Tin
O.M. Manufacturing Philippines, Inc.
Philippines
Tin
Operaciones Metalurgical S.A.
Bolivia
Tin
PT Aries Kencana Sejahtera
Indonesia
Tin
PT Artha Cipta Langgeng
Indonesia
Tin
PT ATD Makmur Mandiri Jaya
Indonesia
Tin
PT Babel Inti Perkasa
Indonesia
Tin
PT Bangka Prima Tin
Indonesia
Tin
PT Bangka Serumpun
Indonesia
Tin
PT Bangka Tin Industry
Indonesia
Tin
PT Belitung Industri Sejahtera
Indonesia
Tin
PT Bukit Timah
Indonesia
Tin
PT DS Jaya Abadi
Indonesia
Tin
PT Inti Stania Prima
Indonesia

 
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Smelters and Refiners Processing Conflict Minerals
Tin
PT Karimun Mining
Indonesia
Tin
PT Kijang Jaya Mandiri
Indonesia
Tin
PT Menara Cipta Mulia
Indonesia
Tin
PT Mitra Stania Prima
Indonesia
Tin
PT Panca Mega Persada
Indonesia
Tin
PT Premium Tin Indonesia
Indonesia
Tin
PT Prima Timah Utama
Indonesia
Tin
PT Refined Bangka Tin
Indonesia
Tin
PT Sariwiguna Binasentosa
Indonesia
Tin
PT Stanindo Inti Perkasa
Indonesia
Tin
PT Sukses Inti Makmur
Indonesia
Tin
PT Sumber Jaya Indah
Indonesia
Tin
PT Timah (Persero) Tbk Kundur
Indonesia
Tin
PT Timah (Persero) Tbk Mentok
Indonesia
Tin
PT Tinindo Inter Nusa
Indonesia
Tin
PT Tommy Utama
Indonesia
Tin
Resind Industria e Comercio Ltda.
Brazil
Tin
Rui Da Hung
Taiwan
Tin
Soft Metais Ltda.
Brazil
Tin
Thaisarco
Thailand
Tin
White Solder Metalurgia e Mineracao Ltda.
Brazil
Tin
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
China
Tin
Yunnan Tin Company Limited
China
Tungsten
A.L.M.T. TUNGSTEN Corp.
Japan
Tungsten
ACL Metais Eireli
Brazil
Tungsten
Chenzhou Diamond Tungsten Products Co., Ltd.
China
Tungsten
Chongyi Zhangyuan Tungsten Co., Ltd.
China
Tungsten
Fujian Jinxin Tungsten Co., Ltd.
China
Tungsten
Ganzhou Haichuang Tungsten Co., Ltd.
China
Tungsten
Ganzhou Huaxing Tungsten Products Co., Ltd.
China
Tungsten
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
China
Tungsten
Ganzhou Seadragon W & Mo Co., Ltd.
China

 
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Smelters and Refiners Processing Conflict Minerals
Tungsten
Global Tungsten & Powders Corp.
United States of America
Tungsten
Guangdong Xianglu Tungsten Co., Ltd.
China
Tungsten
H.C. Starck Smelting GmbH & Co. KG
Germany
Tungsten
H.C. Starck Tungsten GmbH
Germany
Tungsten
Hunan Chenzhou Mining Co., Ltd.
China
Tungsten
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji
China
Tungsten
Hunan Chunchang Nonferrous Metals Co., Ltd.
China
Tungsten
Hydrometallurg, JSC
Russia
Tungsten
Japan New Metals Co., Ltd.
Japan
Tungsten
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
China
Tungsten
Jiangxi Gan Bei Tungsten Co., Ltd.
China
Tungsten
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
China
Tungsten
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
China
Tungsten
Jiangxi Yaosheng Tungsten Co., Ltd.
China
Tungsten
Kennametal Fallon
United States of America
Tungsten
Kennametal Huntsville
United States of America
Tungsten
Malipo Haiyu Tungsten Co., Ltd.
China
Tungsten
Moliren Ltd.
Russia
Tungsten
Niagara Refining LLC
United States of America
Tungsten
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC
Vietnam
Tungsten
Philippine Chuangxin Industrial Co., Inc.
Philippines
Tungsten
South-East Nonferrous Metal Company Limited of Hengyang City
China
Tungsten
Tejing (Vietnam) Tungsten Co., Ltd.
Vietnam
Tungsten
Unecha Refractory metals plant
Russia
Tungsten
Wolfram Bergbau und Hutten AG
Austria
Tungsten
Woltech Korea Co., Ltd.
Korea, Republic of
Tungsten
Xiamen Tungsten (H.C.) Co., Ltd.
China
Tungsten
Xiamen Tungsten Co., Ltd.
China
Tungsten
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.
China

 
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Smelters and Refiners Processing Conflict Minerals
Tungsten
Xinhai Rendan Shaoguan Tungsten Co., Ltd.
China




 
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Countries of Origin for Conflict Minerals, To the Extent Known
Australia
Guyana
Portugal
Austria
India
Russia
Benin
Indonesia
Rwanda
Bolivia
Laos
Sierra Leone
Brazil
Madagascar
South Africa
Burundi
Malaysia
Swaziland
Chile
Mali
Taiwan
China
Mauritania
Tanzania
Colombia
Mongolia
Thailand
Democratic Republic of the Congo
Mozambique
Togo
Ecuador
Myanmar
Uganda
Eritrea
Nicaragua
United Kingdom
Ethiopia
Niger
United States of America
Ghana
Nigeria
Venezuela
Guinea
Peru
 

Due Diligence Improvements

We plan to undertake the following steps in 2019 to mitigate the risk that our Conflict Minerals benefit armed groups:

Continue our engagement with our direct suppliers with periodic communications, training and evaluation of smelter and refiner data provided.
Maintain our efforts to identify the smelters and refiners within our supply chain by evaluating the information received from our direct suppliers and comparing it with updated information published by the RMI.
Contact a portion of our smelters and refiners directly to encourage them to maintain their participation in the RMAP or industry equivalent.
Continue our active involvement in the RMI and support industry efforts to improve the monitoring and reporting of supply chain activities.



 
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