SD

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM SD

SPECIALIZED DISCLOSURE REPORT

 

 

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)

 

(Commission

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, 2017.

 

 

 


INFORMATION TO BE INCLUDED IN THE REPORT

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, 2017 is filed herewith as Exhibit 1.01 and is accessible through our website at: http://investor.ambarella.com/sec.cfm. 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, 2017 is filed as Exhibit 1.01.

Section 2 — Exhibits

Item 2.01 Exhibits

 

Exhibit No.

  

Description

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


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.

 

    AMBARELLA, INC.
Date: May 30, 2018     By:   /s/    Michael Morehead        
     

Michael Morehead

General Counsel

EX-1.01

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 2017. 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.    

1.    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 and television broadcasting infrastructure equipment.

During the 2017 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.

2.    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.

3.    Due Diligence Program

Our due diligence processes and efforts have been developed in conjunction with 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 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 included:

 

    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 designed by the Electronic Industry Citizenship Coalition (EICC) and the Global e-Sustainability Initiative (GeSI).

 

    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 “conflict free” by programs such as the EICC/GeSI Conflict Free Smelter (CFS) program for 3TG minerals.


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.

4.    Reasonable Country of Origin Inquiry (RCOI) and RCOI Results

We conducted a survey of our active suppliers using a template developed by the Electronic Industry Citizenship Coalition (EICC) and the Global e-Sustainability Initiative (GeSI), 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 the responses, all of our suppliers do source some 3TG minerals from covered countries. With the exception of one supplier, all of the smelters and refiners identified by our suppliers as sourcing from covered countries are listed on the CFSI Conflict Free Smelter List. One of our suppliers reported that a number of gold smelters in its supply chain rely upon third-party audit programs administered by the London Bullion Market Association (LBMA) or Responsible Jewellery Council (RJC) to verify their conflict-free status. LMBA and RJC do not disclose RCOI data.

5.    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 the EICC/GeSI Conflict-Free Smelter Program and LBMA and RJC certifications. We did not engage a third-party auditor to independently audit our due diligence procedures or the results of our due diligence.

6.    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, 2017. This list if presented in good faith based upon the information we have to date.


Metal

  

Name of Smelter or Refinery

  

Smelter/Refinery Location

Tantalum

   Changsha South Tantalum Niobium Co., Ltd.    CHINA

Tantalum

   Guangdong Rising Rare Metals-EO Materials Ltd.    CHINA

Tantalum

   Exotech Inc.    UNITED STATES OF AMERICA

Tantalum

   F&X Electro-Materials Ltd.    CHINA

Tantalum

   JiuJiang JinXin Nonferrous Metals Co., Ltd.    CHINA

Tantalum

   Jiujiang Nonferrous Metals Smelting Company Limited    CHINA

Tantalum

   NPM Silmet AS    ESTONIA

Tantalum

   Ningxia Orient Tantalum Industry Co., Ltd.    CHINA

Tantalum

   Solikamsk Magnesium Works OAO    RUSSIAN FEDERATION

Tantalum

   Taki Chemical Co., Ltd.    JAPAN

Tantalum

   Ulba Metallurgical Plant JSC    KAZAKHSTAN                                                 

Tantalum

   Hengyang King Xing Lifeng New Materials Co., Ltd.    CHINA

Tantalum

   D Block Metals, LLC    UNITED STATES OF AMERICA

Tantalum

   H.C. Starck Co., Ltd.    THAILAND

Tantalum

   H.C. Starck Tantalum and Niobium GmbH    GERMANY

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

   Global Advanced Metals Boyertown    UNITED STATES OF AMERICA

Tantalum

   Global Advanced Metals Aizu    JAPAN

Tin

   Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.    CHINA

Tin

   Jiangxi Ketai Advanced Material Co., Ltd.    CHINA

Tin

   Alpha    UNITED STATES OF AMERICA

Tin

   CV Gita Pesona    INDONESIA

Tin

   PT Aries Kencana Sejahtera    INDONESIA

Tin

   CV Serumpun Sebalai    INDONESIA

Tin

   CV United Smelting    INDONESIA

Tin

   Dowa    JAPAN

Tin

   EM Vinto    BOLIVIA (PLURINATIONAL STATE OF)

Tin

   Fenix Metals    POLAND

Tin

   Gejiu Non-Ferrous Metal Processing Co., Ltd.    CHINA

Tin

   Huichang Jinshunda Tin Co., Ltd.    CHINA

Tin

   Gejiu Kai Meng Industry and Trade LLC    CHINA

Tin

   China Tin Group Co., Ltd.    CHINA

Tin

   Malaysia Smelting Corporation (MSC)    MALAYSIA

Tin

   Metallic Resources, Inc.    UNITED STATES OF AMERICA

Tin

   Mineracao Taboca S.A.    BRAZIL

Tin

   Minsur    PERU

Tin

   Mitsubishi Materials Corporation    JAPAN

Tin

   O.M. Manufacturing (Thailand) Co., Ltd.    THAILAND

Tin

   Operaciones Metalurgical S.A.    BOLIVIA (PLURINATIONAL STATE OF)

Tin

   PT Artha Cipta Langgeng    INDONESIA

Tin

   PT Babel Inti Perkasa    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 Eunindo Usaha Mandiri    INDONESIA

Tin

   PT Karimun Mining    INDONESIA

Tin

   PT Mitra Stania Prima    INDONESIA

Tin

   PT Panca Mega Persada    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 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

   Rui Da Hung    TAIWAN, PROVINCE OF CHINA

Tin

   Soft Metais Ltda.    BRAZIL

Tin

   Thaisarco    THAILAND

Tin

   Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    CHINA

Tin

   White Solder Metalurgia e Mineracao Ltda.    BRAZIL

Tin

   Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    CHINA

Tin

   Yunnan Tin Company Limited    CHINA

Tin

   CV Venus Inti Perkasa    INDONESIA

Tin

   Magnu’s Minerais Metais e Ligas Ltda.    BRAZIL

Tin

   Melt Metais e Ligas S.A.    BRAZIL

Tin

   PT ATD Makmur Mandiri Jaya    INDONESIA

Tin

   O.M. Manufacturing Philippines, Inc.    PHILIPPINES

Tin

   PT Inti Stania Prima    INDONESIA

Tin

   CV Ayi Jaya    INDONESIA

Tin

   CV Dua Sekawan    INDONESIA

Tin

   CV Tiga Sekawan    INDONESIA

Tin

   Resind Industria e Comercio Ltda.    BRAZIL

Tin

   Metallo Belgium N.V.    BELGIUM

Tin

   Metallo Spain S.L.U.    SPAIN

Tin

   PT Bangka Prima Tin    INDONESIA

Tin

   PT Sukses Inti Makmur    INDONESIA

Tin

   PT Kijang Jaya Mandiri    INDONESIA

Tin

   PT Menara Cipta Mulia    INDONESIA

Tin

   Gejiu Fengming Metallurgy Chemical Plant    CHINA

Tin

   Guanyang Guida Nonferrous Metal Smelting Plant    CHINA

Tin

   Gejiu Jinye Mineral Company    CHINA

Tin

   PT Lautan Harmonis Sejahtera    INDONESIA

Tin

   Guangdong Hanhe Non-Ferrous Metal Co., Ltd.    CHINA

Tungsten

   A.L.M.T. TUNGSTEN Corp.    JAPAN


Tungsten

   Chongyi Zhangyuan Tungsten Co., Ltd.    CHINA

Tungsten

   Fujian Jinxin Tungsten Co., Ltd.    CHINA

Tungsten

   Global Tungsten & Powders Corp.    UNITED STATES OF AMERICA

Tungsten

   Hunan Chunchang Nonferrous Metals Co., Ltd.    CHINA

Tungsten

   Japan New Metals Co., Ltd.    JAPAN

Tungsten

   Ganzhou Huaxing Tungsten Products Co., Ltd.    CHINA

Tungsten

   Tejing (Vietnam) Tungsten Co., Ltd.    VIETNAM

Tungsten

   Wolfram Bergbau und Hutten AG    AUSTRIA

Tungsten

   Xiamen Tungsten Co., Ltd.    CHINA

Tungsten

   Xiamen Tungsten (H.C.) Co., Ltd.    CHINA

Tungsten

   Jiangxi Gan Bei Tungsten Co., Ltd.    CHINA

Tungsten

   Ganzhou Seadragon W & Mo Co., Ltd.    CHINA

Tungsten

   Chenzhou Diamond Tungsten Products Co., Ltd.    CHINA

Tungsten

   H.C. Starck Tungsten GmbH    GERMANY

Tungsten

   H.C. Starck Smelting GmbH & Co. KG    GERMANY

Tungsten

   Jiangwu H.C. Starck Tungsten Products Co., Ltd.    CHINA

Tungsten

   Niagara Refining LLC    UNITED STATES OF AMERICA

Gold

   Advanced Chemical Company    UNITED STATES OF AMERICA

Gold

   Aida Chemical Industries Co., Ltd.    JAPAN

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

   Asaka Riken Co., Ltd.    JAPAN

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

   Chimet S.p.A.    ITALY

Gold

   Daejin Indus Co., Ltd.    KOREA, REPUBLIC OF

Gold

   DSC (Do Sung Corporation)    KOREA, REPUBLIC OF

Gold

   DODUCO Contacts and Refining GmbH    GERMANY

Gold

   Dowa    JAPAN

Gold

   Eco-System Recycling Co., Ltd.    JAPAN

Gold

   OJSC Novosibirsk Refinery    RUSSIAN FEDERATION

Gold

   Heimerle + Meule GmbH    GERMANY

Gold

   Heraeus Metals Hong Kong Ltd.    CHINA

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

   Japan Mint    JAPAN

Gold

   Jiangxi Copper Co., Ltd.    CHINA

Gold

   Asahi Refining USA Inc.    UNITED STATES OF AMERICA

Gold

   Asahi Refining Canada Ltd.    CANADA

Gold

   JSC Ekaterinburg Non-Ferrous Metal Processing Plant    RUSSIAN FEDERATION

Gold

   JSC Uralelectromed    RUSSIAN FEDERATION

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

   Kyrgyzaltyn JSC    KYRGYZSTAN

Gold

   LS-NIKKO Copper Inc.    KOREA, REPUBLIC OF

Gold

   Materion    UNITED STATES OF AMERICA

Gold

   Matsuda Sangyo Co., Ltd.    JAPAN

Gold

   Metalor Technologies (Suzhou) Ltd.    CHINA

Gold

   Metalor Technologies (Hong Kong) Ltd.    CHINA

Gold

   Metalor Technologies (Singapore) Pte., Ltd.    SINGAPORE

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

   Moscow Special Alloys Processing Plant    RUSSIAN FEDERATION

Gold

   Nadir Metal Rafineri San. Ve Tic. A.S.    TURKEY

Gold

   Nihon Material Co., Ltd.    JAPAN

Gold

   Ohura Precious Metal Industry Co., Ltd.    JAPAN

Gold

   OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)    RUSSIAN FEDERATION

Gold

   PAMP S.A.    SWITZERLAND

Gold

   Prioksky Plant of Non-Ferrous Metals    RUSSIAN FEDERATION

Gold

   PT Aneka Tambang (Persero) Tbk    INDONESIA

Gold

   PX Precinox S.A.    SWITZERLAND

Gold

   Rand Refinery (Pty) Ltd.    SOUTH AFRICA

Gold

   Royal Canadian Mint    CANADA

Gold

   Samduck Precious Metals    KOREA, REPUBLIC OF

Gold

   Schone Edelmetaal B.V.    NETHERLANDS

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

   SOE Shyolkovsky Factory of Secondary Precious Metals    RUSSIAN FEDERATION

Gold

   Solar Applied Materials Technology Corp.    TAIWAN, PROVINCE OF CHINA

Gold

   Sumitomo Metal Mining Co., Ltd.    JAPAN

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

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

   Yamakin Co., Ltd.    JAPAN

Gold

   Yokohama Metal Co., Ltd.    JAPAN

Gold

   Zhongyuan Gold Smelter of Zhongjin Gold Corporation    CHINA

Gold

   Gold Refinery of Zijin Mining Group Co., Ltd.    CHINA

Gold

   Umicore Precious Metals Thailand    THAILAND

Gold

   Geib Refining Corporation    UNITED STATES OF AMERICA

Gold

   MMTC-PAMP India Pvt., Ltd.    INDIA

Gold

   Republic Metals Corporation    UNITED STATES OF AMERICA

Gold

   Singway Technology Co., Ltd.    TAIWAN, PROVINCE OF CHINA

Gold

   Al Etihad Gold LLC    UNITED ARAB EMIRATES

Gold

   Emirates Gold DMCC    UNITED ARAB EMIRATES

Gold

   T.C.A S.p.A    ITALY

Gold

   Korea Zinc Co., Ltd.    KOREA, REPUBLIC OF

Gold

   SAXONIA Edelmetalle GmbH    GERMANY

Gold

   WIELAND Edelmetalle GmbH    GERMANY

Gold

   Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH    AUSTRIA