Washington, D.C. 20549









Ambarella, Inc.

(Exact name of the registrant as specified in its charter)




Cayman Islands   001-35667   98-0459628

(State or other jurisdiction

of incorporation or organization)



File Number)


(IRS Employer

Identification No.)

3101 Jay Street, Santa Clara, California   95054
(Address of principal executive offices)   (Zip code)

Michael Morehead, General Counsel (408) 734-8888

(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 Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2018.





Section 1 – Conflict Minerals Disclosure

ITEM 1.01 – Conflicts Minerals Disclosure and Report

Conflict Minerals Disclosure

The Conflict Minerals Report of Ambarella, Inc., a Cayman Islands corporation, for the calendar year ended December 31, 2018 is filed herewith as Exhibit 1.01 and is accessible through our website at: The website and information accessible through it are not incorporated into this document.

ITEM 1.02 – Exhibits

The Conflict Minerals Report for the calendar year ended December 31, 2018 is filed as Exhibit 1.01.

Section 2 – Exhibits

Item 2.01 Exhibits




1.01    Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form.


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 30, 2019     By:       /s/    Michael Morehead        
      Michael Morehead
      General Counsel

Exhibit 1.01

Conflict Minerals Report of Ambarella, Inc.

in Accordance with Rule 13p-1 under the Securities Exchange Act of 1934

This is the Conflict Minerals Report for Ambarella, Inc. (“Ambarella”, “we”, “us”, “our”, or the “Company”), filed with the Securities Exchange Commission (SEC) in accordance with Rule 13p-1 (the “Rule”) under the Securities Exchange Act of 1934 (the “1934 Act”) for calendar year 2018. The Rule was adopted by the SEC 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 (Dodd-Frank Act). The Rule imposes certain reporting obligations on SEC registrants whose manufactured products contain conflict minerals that are necessary to the functionality or production of their products. “Conflict minerals” are defined as cassiterite, columbite-tantalite, gold, wolframite, and their derivatives, which are limited to tin, tantalum, tungsten, and gold (3TG) for the purposes of this assessment.

The statements below are based on the activities performed to date in good faith by the Company and information available at the time of this filing.



Company Overview; Covered Products

Ambarella was incorporated in the Cayman Islands in 2004. We design, market and sell low-power, high-definition (HD) video compression and image processing semiconductor solutions. Ambarella’s system-on-a-chip (SoC) solutions are used in a variety of HD cameras, including IP security cameras, wearable cameras, unmanned aerial video or drone cameras, and automotive cameras. In addition, Ambarella’s video compression SoCs are used in television broadcasting equipment. We sell our SoC solutions to manufacturers of video cameras, suppliers of video camera modules and television broadcasting infrastructure equipment.

During the 2018 calendar year, we sub-contracted to manufacture our SoC products containing 3TG minerals and the use of these minerals is necessary to the functionality or production of our SoC products.



Supply Chain Overview

We operate our business based on a fabless semiconductor model. Accordingly, we rely on third parties, primarily located in Asia, for substantially all of our manufacturing operations, including wafer fabrication, assembly and testing of SoC our products. There are multiple tiers between our company and the mines that produce conflict minerals used in our products. Accordingly, we rely on our direct suppliers to provide information on the origin of the conflict minerals that are included in our products. All of our suppliers of conflict minerals have adopted a conflict minreals policy and due diligence framework based on 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.



Due Diligence Program

Our due diligence processes and efforts have been developed in conjunction with the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and the related supplements for 3TG minerals. We designed our due diligence process to conform in all material respects with these guidelines. Our due diligence measures include:



Identification of the components in Ambarella products that contain conflict minerals, and the suppliers through which those components are sourced.



Conducting a supply-chain survey with direct suppliers of materials containing conflict minerals using the using the standard Conflict Minerals Reporting Template (CMRT) from the Responsible Minerals Initiative (RMI).


Communicating with any direct suppliers that did not timely respond to surveys or provide complete responses.



Comparing the smelters and refiners identified in the supply-chain survey against the list of smelter facilities which have been identified as compliant with RMI’s Responsible Minerals Assurance Protocol.

Our conflict minerals project team responsible for conducting the due diligence is comprised of employees in our operations department, which is responsible for selecting and retaining relationships with our third-party vendors. Our due diligence process is overseen by executives from our operations and legal functions.

We have retained all relevant documentation from our reasonable due diligence measures to ensure the retention of relevant documentation.



Reasonable Country of Origin Inquiry (RCOI) and RCOI Results

We conducted a survey of our active suppliers using a template from the Responsible Minerals Initiative (RMI), known as the Conflict Minerals Reporting Template. The template was developed to facilitate disclosure and communication of information regarding smelters that provide material to a company’s supply chain. It includes questions regarding a company’s conflict-free policy, engagement with its direct suppliers, and a listing of the smelters the company and its suppliers use. In addition, the template contains questions about the origin of conflict minerals included in their products, as well as supplier due diligence. We believe this template is widely used by companies in our industry for the purpose of conducting due diligence related to conflict minerals.

During the process of our review, we identified our direct suppliers who fell within the scope of our RCOI. We sent the Conflict Minerals Reporting Template to these direct suppliers and received responses from each of them. Each of our direct suppliers indicated that they had received` data or information about the origin of 3TG minerals from all of their suppliers. Each of our direct suppliers also indicated that they reported all of the applicable smelter and refinery information in their response to our inquiry.

Based on our due diligence activities, our suppliers identified a total of 81 smelters and refiners from which 3TG minerals may have been sourced. All (100%) of our suppliers indicated that they do source some 3TG minerals from covered countries. All (100%) of the smelters and refiners identified by our suppliers as sourcing from covered countries have been certified as compliant with the Responsible Minerals Assurance Protocol (RMAP).



Audit of Supply Chain Due Diligence

As noted above, as a fabless semiconductor company we do not have a direct relationship with 3TG smelters and refiners, and we did not perform direct audits of the entities in our supply chain. As a downstream purchaser of materials and components that contain conflict minerals, our due diligence measures cannot provide absolute assurance regarding the source and chain of custody of the conflict minerals in our Covered Products. However, we do rely upon industry third-party audit programs such as RMI’s Responsible Minerals Assurance Protocol (RMAP). We did not engage a third-party auditor to independently audit our due diligence procedures or the results of our due diligence.



Facilities Used to Process Conflict Materials

Based on our due diligence process and the information received from our suppliers, the following facilities were identified by our suppliers as the smelters and refiners of the 3TG minerals present in and necessary to the functionality of our products manufactured in the calendar year ended December 31, 2018. This list if presented in good faith based upon the information we have to date.









Tantalum    Changsha South Tantalum Niobium Co., Ltd.    China    CID000211

Tantalum    Guangdong Rising Rare Metals-EO Materials Ltd.    China    CID000291
Tantalum    Exotech Inc.    United States    CID000456
Tantalum    F&X Electro-Materials Ltd.    China    CID000460
Tantalum    Ningxia Orient Tantalum Industry Co., Ltd.    China    CID001277
Tantalum    Solikamsk Magnesium Works OAO    Russian Federation    CID001769
Tantalum    Ulba Metallurgical Plant JSC    Kazakhstan    CID001969
Tantalum    D Block Metals, LLC    United States    CID002504
Tantalum    H.C. Starck Co., Ltd.    Thailand    CID002544
Tantalum    H.C. Starck Tantalum and Niobium GmbH    Germany    CID002545
Tantalum    H.C. Starck Hermsdorf GmbH    Germany    CID002547
Tantalum    H.C. Starck Inc.    United States    CID002548
Tantalum    H.C. Starck Ltd.    Japan    CID002549
Tantalum    H.C. Starck Smelting GmbH & Co. KG    Germany    CID002550
Tantalum    Global Advanced Metals Boyertown    United States    CID002557
Tantalum    Global Advanced Metals Aizu    Japan    CID002558
Tin    Alpha    United States    CID000292
Tin    PT Aries Kencana Sejahtera    Indonesia    CID000309
Tin    CV United Smelting    Indonesia    CID000315
Tin    Gejiu Non-Ferrous Metal Processing Co., Ltd.    China    CID000538
Tin    Malaysia Smelting Corporation (MSC)    Malaysia    CID001105
Tin    Metallic Resources, Inc.    United States    CID001142
Tin    Mineracao Taboca S.A.    Brazil    CID001173
Tin    Minsur    Peru    CID001182
Tin    Mitsubishi Materials Corporation    Japan    CID001191
Tin    Operaciones Metalurgical S.A.    Bolivia    CID001337
Tin    PT Bangka Tin Industry    Indonesia    CID001419
Tin    PT Bukit Timah    Indonesia    CID001428
Tin    PT DS Jaya Abadi    Indonesia    CID001434
Tin    PT Mitra Stania Prima    Indonesia    CID001453
Tin    PT Refined Bangka Tin    Indonesia    CID001460
Tin    PT Stanindo Inti Perkasa    Indonesia    CID001468
Tin    PT Timah (Persero) Tbk Kundur    Indonesia    CID001477
Tin    PT Timah (Persero) Tbk Mentok    Indonesia    CID001482
Tin    PT Tinindo Inter Nusa    Indonesia    CID001490
Tin    PT Tommy Utama    Indonesia    CID001493
Tin    Thaisarco    Thailand    CID001898
Tin    White Solder Metalurgia e Mineracao Ltda.    Brazil    CID002036
Tin    Yunnan Tin Company Limited    China    CID002180
Tin    CV Venus Inti Perkasa    Indonesia    CID002455
Tin    CV Tiga Sekawan    Indonesia    CID002593
Tin    Metallo Belgium N.V.    Belgium    CID002773
Tin    PT Bangka Prima Tin    Indonesia    CID002776

Tin    PT Menara Cipta Mulia    Indonesia    CID002835
Tin    Guangdong Hanhe Non-Ferrous Metal Co., Ltd.    China    CID003116
Tungsten    A.L.M.T. TUNGSTEN Corp.    Japan    CID000004
Tungsten    Chongyi Zhangyuan Tungsten Co., Ltd.    China    CID000258
Tungsten    Fujian Jinxin Tungsten Co., Ltd.    China    CID000499
Tungsten    Global Tungsten & Powders Corp.    United States    CID000568
Tungsten    Hunan Chunchang Nonferrous Metals Co., Ltd.    China    CID000769
Tungsten    Japan New Metals Co., Ltd.    Japan    CID000825
Tungsten    Ganzhou Huaxing Tungsten Products Co., Ltd.    China    CID000875
Tungsten    Tejing (Vietnam) Tungsten Co., Ltd.    Viet Nam    CID001889
Tungsten    Xiamen Tungsten Co., Ltd.    China    CID002082
Tungsten    Xiamen Tungsten (H.C.) Co., Ltd.    China    CID002320
Tungsten    Jiangxi Gan Bei Tungsten Co., Ltd.    China    CID002321
Tungsten    Ganzhou Seadragon W & Mo Co., Ltd.    China    CID002494
Tungsten    Chenzhou Diamond Tungsten Products Co., Ltd.    China    CID002513
Tungsten    H.C. Starck Tungsten GmbH    Germany    CID002541
Tungsten    H.C. Starck Smelting GmbH & Co. KG    Germany    CID002542
Tungsten    Jiangwu H.C. Starck Tungsten Products Co., Ltd.    China    CID002551
Tungsten    Niagara Refining LLC    United States    CID002589
Gold    Aida Chemical Industries Co., Ltd.    Japan    CID000019
Gold    Asahi Pretec Corp.    Japan    CID000082
Gold    Asaka Riken Co., Ltd.    Japan    CID000090
Gold    Dowa    Japan    CID000401
Gold    Heraeus Metals Hong Kong Ltd.    China    CID000707
Gold    Ishifuku Metal Industry Co., Ltd.    Japan    CID000807
Gold    JX Nippon Mining & Metals Co., Ltd.    Japan    CID000937
Gold    Kojima Chemicals Co., Ltd.    Japan    CID000981
Gold    Matsuda Sangyo Co., Ltd.    Japan    CID001119
Gold    Metalor Technologies S.A.    Switzerland    CID001153
Gold    Mitsubishi Materials Corporation    Japan    CID001188
Gold    Mitsui Mining and Smelting Co., Ltd.    Japan    CID001193
Gold    Nihon Material Co., Ltd.    Japan    CID001259
Gold    Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    China    CID001622
Gold    Sumitomo Metal Mining Co., Ltd.    Japan    CID001798
Gold    Tanaka Kikinzoku Kogyo K.K.    Japan    CID001875
Gold    Tokuriki Honten Co., Ltd.    Japan    CID001938
Gold    United Precious Metal Refining, Inc.    United States    CID001993
Gold    Western Australian Mint (T/a The Perth Mint)    Australia    CID002030