UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

Form SD

Specialized Disclosure Report

Diodes Incorporated

 
 	 	 	 	 	
Delaware	 	002-25577	 	95-2039518	
(State or other jurisdiction of
incorporation or organization)	 	(Commission
File Number)	 	(IRS Employer
Identification No.)	

4949 Hedgcoxe Road, Suite 200
Plano, Texas	 	75024	
(Address of principal executive offices)	 	(Zip Code)	
Richard D. White
(972) 987-3900
(Name and telephone number, including area code, of 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:
 
x	Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2013.	

 

Section 1 – Conflict Minerals Disclosure
Item 1.01 Conflict Minerals Disclosure and Report
The disclosures required by this item are contained in the Company’s Conflict Minerals Report for the year ended December 31, 2013 filed as Exhibit 1.02 hereto and is publicly available at www.diodes.com.
Item 1.02 Exhibit
A copy of Diodes Incorporated’s Conflict Minerals Report for the year ended December 31, 2013 is filed as Exhibit 1.02 hereto and is publicly available at www.diodes.com.
Section 2 – Exhibits
Item 2.01 Exhibits
Exhibit 1.02 – Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form.
 
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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.

DIODES INCORPORATED	 	 	 	DATE: June 2, 2014	
 	 	 	 	
By	 	/s/ Richard D. White	 	 	 	 	
 	 	RICHARD D. WHITE	 	 	 	 	
 	 	Chief Financial Officer	 	 	 	 	
 
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Exhibit 1.02
Diodes Incorporated
Conflict Minerals Report
For The Year Ended December 31, 2013
This Conflict Minerals Report (the “Report”) for the year ended December 31, 2013 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934 (the “Rule”). The Rule was adopted by the Securities and Exchange Commission (“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 (the “Dodd-Frank Act”). The Rule imposes certain reporting obligations on SEC registrants whose manufactured products contain Conflict Minerals which are necessary to the functionality or production of their products. Conflict Minerals are defined as Columbite-tantalite, also known as coltan (the metal ore from which tantalum is extracted), cassiterite (the metal ore from which tin is extracted), wolframite (the metal ore from which tungsten is extracted), gold, or their derivatives; or any other mineral or its derivatives as determined by the Secretary of State to be financing conflicts in the Democratic Republic of the Congo (“DRC”) or adjoining countries.
This Report has not been audited because the circumstances that would require an audit under the Rule are not present, and the Conflict Minerals Report (CMR) is not subject to an independent private sector audit. The report can be found at Diodes’ website at  http://diodes.com/pdfs/conflictmineralsreport2013.pdf .
 
1.	Overview	
This Report has been prepared by the management of Diodes Incorporated (herein referred to as “Diodes,” the “Company,” “we,” “us,” or “our”).
We are a leading global manufacturer and supplier of high-quality, application specific standard products within the broad discrete, logic and analog semiconductor markets, serving the consumer electronics, computing, communications, industrial, and automotive markets. Our products include diodes, rectifiers, transistors, MOSFETs, protection devices, functional specific arrays, single gate logic, amplifiers and comparators, Hall-effect and temperature sensors, power management devices, including LED drivers, AC-DC and DC-DC switching, linear voltage regulators, and voltage references along with special function devices, such as USB power switches, load switches, voltage supervisors, and motor controllers. Our products are sold primarily throughout Asia, North America and Europe.
We design, manufacture and market these semiconductors for diverse end-use applications. Semiconductors, which provide electronic signal amplification and switching functions, are basic building-blocks that are incorporated into almost every electronic device.
Our product portfolio addresses the design needs of advanced electronic equipment, including high-volume consumer devices such as digital media players, smart phones, tablets, notebook computers, flat-panel displays, mobile handsets, digital cameras and set-top boxes. Our product line includes over 9,250 products, and we shipped approximately 41 billion units in 2013.
A review of the Bill of Materials used in our products showed that Conflict Minerals — Gold, Tin, or Tungsten — can be found in all of our products.

The Conflict Minerals status of the products we manufacture, that are subject to the reporting obligations of Rule 13p-1, could not be determined.
We relied upon our direct suppliers to provide information on the origin of Conflict Minerals contained in components and materials supplied to us – including sources of Conflict Minerals that are supplied to them from lower tier suppliers.
Because of our operation size, the complexity of our products, and the depth, breadth, and constant evolution of our supply chain, it is difficult to identify actors upstream from our direct suppliers. Accordingly, we observe and follow a number of industry-wide initiatives as described in section 2 of this Report below.
The statement on Conflict Minerals and our EICC/GeSI Conflict Minerals report are publicly available and can be downloaded from our website at  www.diodes.com .
 
2.	Due Diligence Process	
2.1 Design of Due Diligence
Our due diligence measures have been designed to conform to an internationally recognized due diligence framework.
2.2 Management System
In order to respond to external requests for information, a formal Conflict Minerals statement is available on our website at http://diodes.com/pdfs/DiodesIncorporatedStatementOnConflictMinerals.pdf.
Development and implementation of the Conflict Minerals due diligence plan requires engagement of various Diodes’ departments, including, but not limited to, the Engineering, Finance, Legal, Purchasing, and Quality departments. The team of subject matter experts is responsible for implementing our Conflict Minerals compliance strategy and is led by our Quality Systems Manager who acts as the Conflict Minerals Program Manager. Senior management is updated on the results of our due diligence efforts on a regular basis.
Because we do not have a direct relationship with Conflict Mineral smelters and refiners and does not perform or direct audits of these entities within our supply chain, we follow and actively cooperate with the following industry-wide initiatives:
 
 	•	 	The Electronics Industry Citizenship Coalition-Global e-Sustainability Initiative’s (“EICC-GeSI”); and	
 
 	•	 	Conflict-Free Sourcing Initiative (“CFSI”).	
As a result of this cooperation, we have periodically updated our publicly available Conflict Minerals report (EICC/GeSI report) as well as information retrieved from our suppliers’ Conflict Minerals reports. We also monitor audit results as updated on the CFSI web site at  http://www.conflictfreesourcing.org/rcoi-data/.  As needed, we have requested updates of received EICC/GeSI reports to be in compliance with the latest revision of the EICC-GeSI reporting template.
We have outlined expectations regarding use of Conflict Minerals in our Corporate Supplier Quality specifications. We engage with all identified Conflict Mineral suppliers to disseminate our requirements to their supply chain.
By the end of 2013, we have identified sixty-eight (68) Conflict Mineral suppliers. We relied upon these suppliers to provide us with information about the sources of Conflict Minerals contained in the components supplied to us. Our suppliers are similarly reliant upon information provided by their suppliers. Many of the largest suppliers are also SEC registrants and subject to the Rule.
 
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3.	Due Diligence Results	
We conducted a survey of those suppliers described in this Report using the template developed by the Electronic Industry Citizenship Coalition (“EICC”) and the Global e-Sustainability Initiative (“GeSI”), now known as the CFSI Reporting Template (the “Template”). The Template was developed to facilitate disclosure and communication of information regarding smelters and refiners 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 and refiners 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 suppliers’ due diligence. Written instructions and recorded training illustrating the use of the tool are available on EICC’s website. The Template is being used by many companies in their due diligence processes related to Conflict Minerals. By utilizing the Template, we have determined that seeking information about Conflict Mineral smelters and refiners in our supply chain represents the most reasonable effort we can make to determine the locations of origin of Conflict Minerals in our supply chain.
Our suppliers have provided us their EICC and GeSI reporting templates. We reviewed their responses against criteria developed to determine which required further engagement with our suppliers. These criteria included incomplete responses, as well as inconsistencies within the data reported in the templates. We have worked directly with these suppliers to provide revised responses.
Responses included the names of over one hundred and thirty (130) smelters or refiners. Approximately thirty-six percent (36%) of them were identified as certified Conflict-Free when compared to the CFSI list of Conflict-Free smelters or refiners. An additional approximately six percent (6%) were identified as active in the CFSI Conflict-Free Smelter Program. Not all of the remaining facilities could be identified as smelters or refiners. One supplier reported that components supplied to us contained Tin from a Conflict-Free source in the DRC or adjoining countries.
Over ninety percent (90%) of the responses received provided data at a company or divisional level. We are therefore unable to determine whether any of the Conflict Minerals reported by the suppliers were contained in components or parts supplied to us or to validate that any of these smelters or refiners are actually in our supply chain.
 
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List of smelters and refiners
The following list is extracted from EICC and/or GeSI Conflict Minerals report, made publicly available on our website at www.diodes.com  on December 5, 2013:

Metal	  	Smelter or Refiner Facility Name	
Gold	  	Shanghai Gold Exchange	
Gold	  	Aida Chemical Industries Co. Ltd.	
Gold	  	Allgemeine Gold- und Silberscheideanstalt A.G.	
Gold	  	Almalyk Mining and Metallurgical Complex (AMMC)	
Gold	  	AngloGold Ashanti Mineraçăo Ltda	
Gold	  	Argor-Heraeus SA	
Gold	  	Asahi Pretec Corporation	
Gold	  	Asaka Riken Co Ltd	
Gold	  	Aurubis AG	
Gold	  	Bangko Sentral ng Pilipinas (Central Bank of the Philippines)	
Gold	  	Caridad	
Gold	  	Chimet SpA	
Gold	  	Chugai Mining	
Gold	  	Codelco	
Gold	  	Dowa	
Gold	  	Heimerle + Meule GmbH	
Gold	  	Heraeus Ltd Hong Kong	
Gold	  	Heraeus Precious Metals GmbH & Co. KG	
Gold	  	Heraeus Zhaoyuan Precious Metal Materials Co.,Ltd.	
Gold	  	Ishifuku Metal Industry Co., Ltd.	
Gold	  	Johnson Matthey Inc	
Gold	  	Johnson Matthey Limited	
Gold	  	JX Nippon Mining & Metals Co., Ltd	
Gold	  	London Bullion Market Association	
Gold	  	LS-Nikko Copper Inc	
Gold	  	Materion	
Gold	  	Matsuda Sangyo Co. Ltd	
Gold	  	Metalor Technologies (Hong Kong) Ltd	
Gold	  	Metalor Technologies SA	
Gold	  	Metalor USA Refining Corporation	
Gold	  	Mitsubishi Materials Corporation	
Gold	  	Mitsui Mining and Smelting Co., Ltd.	
Gold	  	Navoi Mining and Metallurgical Combinat	
Gold	  	Nihon Material Co. LTD	
Gold	  	Ningbo Kangqiang	
Gold	  	Ohio Precious Metals LLC.	
Gold	  	Rand Refinery (Pty) Ltd	
Gold	  	Royal Canadian Mint	
Gold	  	SEMPSA Joyeria Plateria SA	
Gold	  	Shandong Zhaojin Gold & Silver Refinery Co. Ltd	
Gold	  	Solar Applied Materials Technology Corp.	
Gold	  	Tanaka Kikinzoku Kogyo K.K.	
Gold	  	The Refinery of Shandong Gold Mining Co. Ltd	
Gold	  	Tokuriki Honten Co. Ltd	
Gold	  	Umicore SA Business Unit Precious Metals Refining	
Gold	  	United Precious Metal Refining, Inc.	
Gold	  	Valcambi SA	
Gold	  	Western Australian Mint trading as The Perth Mint	
Gold	  	Xstrata Canada Corporation	
Gold	  	Yokohama Metal Co Ltd	
Gold	  	Zhongyuan Gold Smelter of Zhongjin Gold Corporation	
Tin	  	American Iron and Metal	
Tin	  	Bangka	
Tin	  	Chengfeng Metals Co Pte Ltd	
Tin	  	China Tin Smelter Co. Ltd.	
Tin	  	Cookson	
Tin	  	Cookson Alpha Metals(Shenzhen)Co.Ltd	
Tin	  	CV Duta Putra Bangka	
Tin	  	CV JusTindo	
Tin	  	CV Makmur Jaya	
Tin	  	CV Nurjanah	
Tin	  	CV Serumpun Sebalai	
Tin	  	CV United Smelting	
Tin	  	EM Vinto	
Tin	  	Feinhütte Halsbrücke GmbH	
Tin	  	Geiju Non-Ferrous Metal Processing Co. Ltd.	
Tin	  	Gejiu Zi-Li	
Tin	  	Gold Bell Group	
Tin	  	Huaxi Guangxi Group	
 
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Metal	  	Standard Smelter Names	
Tin	  	Indonesian State Tin Corporation Mentok Smelter	
Tin	  	Jiangxi Nanshan	
Tin	  	Kaimeng(Gejiu) Industry and Trade Co., Ltd.	
Tin	  	Kupol	
Tin	  	Liuzhou China Tin	
Tin	  	Malaysia Smelting Corporation (MSC)	
Tin	  	Metallo Chimique	
Tin	  	Mineraçăo Taboca S.A.	
Tin	  	Minsur	
Tin	  	Mitsubishi Materials Corporation	
Tin	  	OMSA	
Tin	  	PT Alam Lestari Kencana	
Tin	  	PT Artha Cipta Langgeng	
Tin	  	PT Babel Inti Perkasa	
Tin	  	PT Babel Surya Alam Lestari	
Tin	  	PT Bangka Kudai Tin	
Tin	  	PT Bangka Putra Karya	
Tin	  	PT Bangka Timah Utama Sejahtera	
Tin	  	PT Belitung Industri Sejahtera	
Tin	  	PT BilliTin Makmur Lestari	
Tin	  	PT Bukit Timah	
Tin	  	PT Eunindo Usaha Mandiri	
Tin	  	PT Fang Di MulTindo	
Tin	  	PT HP Metals Indonesia	
Tin	  	PT Koba Tin	
Tin	  	PT Mitra Stania Prima	
Tin	  	PT Refined Banka Tin	
Tin	  	PT Sariwiguna Binasentosa	
Tin	  	PT Stanindo Inti Perkasa	
Tin	  	PT Sumber Jaya Indah	
Tin	  	PT Tambang Timah	
Tin	  	PT Timah	
Tin	  	PT Timah Nusantara	
Tin	  	PT Tinindo Inter Nusa	
Tin	  	PT Yinchendo Mining Industry	
Tin	  	Novosibirsk Integrated Tin Works	
Tin	  	Thaisarco	
Tin	  	Traxys	
Tin	  	Heraeus Precious Metals GmbH & Co. KG	
Tin	  	Yunnan Chengfeng	
Tin	  	Yunnan Tin Company Limited	
Tin	  	Zhejiang Huangyan Xinqian Electrical Parts Factory	
Tungsten	  	Alldyne Powder Technologies	
Tungsten	  	Alta Group	
Tungsten	  	Chaozhou Xianglu Tungsten IND Co., LTD.	
Tungsten	  	DAYU WEILIANG TUNGSTEN CO.,LTD	
Tungsten	  	Ganzhou Grand Sea W & Mo Group Co Ltd	
Tungsten	  	GANZHOU HONGFEI W&Mo MATERIALS CO.,LTD.	
Tungsten	  	Ganzhou Huaxing Tungsten	
Tungsten	  	Jiangxi Rare Earth & Rare Metals Tungsten Group Corp	
Tungsten	  	Global Tungsten & Powders Corp	
Tungsten	  	HC Starck GmbH	
Tungsten	  	Hunan Chun-chang Non-ferrous Smelting & Concentrating Co., Ltd.	
Tungsten	  	Jada Electronic limited (JX Nippon Mining&Matel Co., Ltd)	
Tungsten	  	Jiangxi Tungsten Industry Group Co Ltd	
Tungsten	  	Kanto Denka Kogyo Co., Ltd.	
Tungsten	  	Nanchang Cemented Carbide Limited Liability Company	
Tungsten	  	NingHua XingLuoKeng TungSten Mining CO.,LID	
Tungsten	  	Plansee	
Tungsten	  	Sumitomo Metal Mining Co. Ltd.	
Tungsten	  	Wolfram Company CJSC	
Tungsten	  	Xiamen Honglu Tungsten Molybdenum Industry Co., Ltd.	
Tungsten	  	Xiamen Tungsten Co Ltd	
Tungsten	  	Zhuzhou Cemented Carbide Group Co Ltd	
 
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Countries of origin of the conflict minerals these facilities process are believed to include:
American Samoa, Australia, Austria, Belgium, Bolivia, Brazil, Canada, Chile, China, France, Germany, Hong Kong, Indonesia, Italy, Japan, Republic of Korea, Malaysia, Mexico, Peru, Philippines, Russian Federation, South Africa, Spain, Switzerland, Taiwan, Thailand, United Kingdom, United States and Uzbekistan.
 
4.	Steps to be Taken to Mitigate Risks	
We intend to take the following steps to improve the due diligence conducted to further mitigate any risk that the necessary Conflict Minerals in our products could benefit armed groups in the DRC or adjoining countries:
a. Review vendor reports, covering purchased raw materials that could potentially contain Conflict Minerals and expand the number of suppliers requested to supply information; and
b. Engage with suppliers and direct them to training resources in an attempt to improve the contents of the suppliers’ survey responses.
 
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