0001564590-21-030621.txt : 20210528 0001564590-21-030621.hdr.sgml : 20210528 20210528102643 ACCESSION NUMBER: 0001564590-21-030621 CONFORMED SUBMISSION TYPE: SD PUBLIC DOCUMENT COUNT: 2 13p-1 1.01 20201231 1.02 20201231 FILED AS OF DATE: 20210528 DATE AS OF CHANGE: 20210528 FILER: COMPANY DATA: COMPANY CONFORMED NAME: MoSys, Inc. CENTRAL INDEX KEY: 0000890394 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 770291941 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SD SEC ACT: 1934 Act SEC FILE NUMBER: 000-32929 FILM NUMBER: 21976977 BUSINESS ADDRESS: STREET 1: 2309 BERING DRIVE CITY: SAN JOSE STATE: CA ZIP: 95131 BUSINESS PHONE: 408 418 7500 MAIL ADDRESS: STREET 1: 2309 BERING DRIVE CITY: SAN JOSE STATE: CA ZIP: 95131 FORMER COMPANY: FORMER CONFORMED NAME: MONOLITHIC SYSTEM TECHNOLOGY INC DATE OF NAME CHANGE: 19960613 SD 1 mosy-sd.htm SD mosy-sd.htm

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

Form SD

Specialized Disclosure Report

MoSys, Inc.

(Exact name of registrant as specified in its charter)

 

000-32929

(Commission File Number)

 

Delaware

77-0291941

(State or other jurisdiction of incorporation)

(I.R.S. Employer Identification No.)

 

 

2309 Bering Drive

San Jose, California 95131

(Address of principal executive offices, with zip code)

 

James Sullivan

Chief Financial Officer

(408) 418-7500

(Name and telephone number, including area code, of the person to contact

in connection with this report.)

 

Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:

 

Rule 13p-1 under the Securities Act (17 CFR 240.13p-1) for the reporting period from January 1, 2020 to December 31, 2020.

 

 

 

 



 

 

Section 1 Conflict Minerals Disclosure

 

Item 1.01 Conflict Minerals Disclosure and Report

 

Conflict Minerals Disclosure

 

This Form SD and a copy of the Conflict Minerals Report for MoSys, Inc. (the “Company”), filed as an exhibit hereto, are available on the Company’s website at www.mosys.com, under the heading “Corporate Governance.”

 

The Company’s conflict minerals disclosure and the description of its due diligence framework are included in its Conflict Minerals Report and incorporated by reference herein.

 

Item 1.02 Exhibit

 

The Conflict Minerals Report required by Item 1.01 is filed as Exhibit 1.01 to this Form SD.

 

Section 2 - Exhibits

 

Item 2.01 Exhibits

 

Exhibit 1.01 –Conflict Minerals Report of MoSys, Inc. for the year ended December 31, 2020.

2

 

 



 

 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the duly authorized undersigned.

 

 

Date: May 28, 2021

 

By:

MOSYS, INC.

 

/s/ James Sullivan

James Sullivan

Vice President of Finance and Chief Financial Officer

 

 

 

 

3

 

 

 

EX-1.01 2 mosy-ex101_6.htm EX-1.01 mosy-ex101_6.htm

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, theCovered 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;

 

 

 

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 3TG originating from the Covered Countries.

 

 

 

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.