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 |
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. Ambarellas 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, Ambarellas 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 companys supply chain. It includes questions regarding a companys 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 |
Magnus 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 |