UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C.  20549

 

FORM SD

Specialized Disclosure Report

 

IntriCon Corporation

(Exact name of registrant as specified in its charter)

 

Pennsylvania 1-5005 23-1069060
(State or other jurisdiction
of incorporation or organization)
(Commission
File Number)
(IRS Employer
Identification No.)

 

1260 Red Fox Road, Arden Hills, Minnesota 55112
(Address of principal executive offices) (Zip Code)
   
Scott Longval (651) 636-9770
(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 of January 1 to December 31, 2014.

 

 

 

 
 

 

Section 1 – Conflict Minerals Disclosure

 

Item 1.01 Conflict Minerals Disclosure and Report

 

Conflict Minerals Disclosure

 

This Form SD of IntriCon Corporation (the “Company”) is filed pursuant to Rule 13p-1 promulgated under the Securities Exchange Act of 1934, as amended, for calendar year 2014.

 

A copy of the Company’s Conflict Minerals Report for calendar year 2014 is filed as Exhibit 1.01 to this Form SD, and is publicly available at www.intricon.com. The contents of any website referenced in this Form SD are included for general information only and are not incorporated by reference in this Form SD.

 

 

Item 1.02 Exhibits

 

As specified in Section 2, Item 2.01 of this Form SD, the Company is hereby filing its Conflict Minerals Report as Exhibit 1.01 to this report.

 

 

Section 2 – Exhibits

 

Item 2.01 Exhibits

 

The following exhibit is filed as part of this report:

 

Exhibit 1.01— Conflict Minerals Report of IntriCon Corporation 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.

 

IntriCon Corporation
 
By: /s/ Scott Longval Date: May 29, 2015
Name: Scott Longval
Title: Chief Financial Officer

 

 

 
 

 

EXHIBIT INDEX

 

Exhibit Number Description
   
1.01 Conflict Minerals Report of IntriCon Corporation

 

 

 

 

 



Exhibit 1.01

 

Conflict Minerals Report of IntriCon Corporation
in Accordance with Rule 13p-1 under the Securities Exchange Act of 1934

 

Introduction

 

This is the Conflict Minerals Report (the “Report”) of IntriCon Corporation (the “Company”) for calendar year 2014 in accordance with Rule 13p-1 (“Rule 13p-1”) under the Securities Exchange Act of 1934 (the “1934 Act”). Please refer to Rule 13p-1, Form SD and the 1934 Act Release No. 34-67716 for definitions to the terms used in this Report, unless otherwise defined herein.

 

Rule 13p-1 requires disclosure of certain information when a company manufactures or contracts to manufacture products and the minerals specified in Rule 13p-1 are necessary to the functionality or production of those products. The specified minerals, which are collectively referred to in this Report as “Conflict Minerals,” are gold, columbite-tantalite (coltan), cassiterite and wolframite, including their derivatives, which are limited to tantalum, tin and tungsten. The “Covered Countries” for the purposes of the Rule and this Report are the Democratic Republic of the Congo, the Central African Republic, South Sudan, Uganda, Rwanda, Burundi, Tanzania, Zambia and Angola. As described in this Report, Conflict Minerals are necessary to the functionality or production of certain of the Company’s products that the Company manufactures or contracts to manufacture.

 

Description of the Company and the Products Covered by this Report

 

The Company is an international company engaged in designing, developing, engineering and manufacturing body-worn devices. The Company serves the body-worn device market by designing, developing, engineering and manufacturing micro-miniature products, microelectronics, micro-mechanical assemblies and complete assemblies, primarily for bio-telemetry devices, hearing instruments and professional audio communication devices. Conflict Minerals are necessary to the functionality or production of certain of the Company’s products that the Company manufactured or contracted to manufacture and for which the manufacture was completed during calendar year 2014 (the “Covered Products”). The Covered Products include:

 

·hearing aids and hearing aid components,
·cardiac monitoring devices,
·medical telecoils, and
·professional audio devices and accessories.

 

Reasonable Country of Origin Inquiry

 

The Company conducted a good faith reasonable country of origin inquiry (“RCOI”) with respect to the Conflict Minerals included in the Covered Products. Such RCOI was reasonably designed to determine whether any of the Conflict Minerals included in the Covered Products originated in the Covered Countries or were from recycled or scrap sources.

 

The Company began the RCOI by (i) creating a list of part numbers of component parts that the Company utilizes in the Covered Products, and (ii) identifying the names of the suppliers from whom the Company obtained such parts. The Company then performed an internet database search to review, for each part number, (i) the applicable supplier’s website for disclosure regarding Conflict Minerals, and (ii) SiliconExpert’s parts database, which is a database that maintains conflict minerals compliance documents from suppliers.

 

 
 

 

If the Company was unable to find information on a particular product or a particular supplier through its internet search, the Company sent the supplier of such product an email with instructions on how to acquire the latest version of the Conflict Minerals Reporting Template (the “Template”) and how to complete the Template. The Company has adopted the Electronic Industry Citizenship Coalition (EICC) Conflict Minerals Reporting Template (the “Template”) as a standard questionnaire for conducting inquiries into its supplier’s sources of metals. This Template was created by the EICC and the Global e-Sustainability Initiative (GeSI) as a common means for the collection of sourcing information related to Conflict Minerals.

 

In completing the Template, each supplier was asked, among other questions; whether the products or components they supplied to the Company contained Conflict Minerals; the origin of such Conflict Minerals; to identify the sources of Conflict Minerals from their lower tier level suppliers; to determine the smelter or mine origin or whether the Conflict Minerals were sourced from recycled or scrap sources. Suppliers were asked to return a copy of the Template once completed. Upon return of the Template, the contents of the response were reviewed. If information on a Template returned from a supplier appeared to be incomplete, incorrect, or not trustworthy, the supplier would be contacted with a request to complete or correct the questionable information. In addition, the Company would, on at least one occasion, follow up with suppliers that did not respond to the Company’s request to complete the Template.

 

Due Diligence Measures Performed by the Company

 

The Company does not purchase ore or unrefined conflict minerals from mines and is many steps removed in the supply chain from the mining of the Conflict Minerals. The Company purchases materials used in its products from a large network of suppliers. The Company must therefore rely on its supply chain to provide information regarding the origin of the Conflict Minerals that are included in the Covered Products. Moreover, the Company believes that the smelters and refiners of the Conflict Minerals are best situated to identify the sources of Conflict Minerals, and therefore the Company’s due diligence process includes steps to identify the applicable smelters and refiners of Conflict Minerals in the Company’s Covered Products supply chain.

 

The due diligence measures that the Company performed during 2014 included, but were not limited to, the following:

 

·Maintained an internal Conflict Minerals project team comprised of representatives from the Company’s corporate finance, quality and regulatory, and supply chain management departments to implement the Company’s Conflict Minerals due diligence.
·Reported to senior management on suppliers’ responses to the Company’s Conflict Minerals information requests.
·Included a conflict minerals provision in applicable purchase orders and new or renewed supplier contracts which requires that all products and materials sold to the Company do not include Conflict Minerals from the Covered Countries.
·Maintained a database to store the Company’s supply chain Conflict Minerals records, including all returned Templates. All members of the project team have access to this database.
·Compared the smelters and refiners identified in the supply-chain survey against the list of Compliant Smelters on the Conflict Minerals Sourcing Initiative (CFSI) website. The CFSI is a voluntary program whereby an independent third party evaluates smelter procurement activities to determine whether a smelter has sufficiently demonstrated that all materials processed by that smelter originated from sources that do not directly or indirectly finance or benefit armed groups in the Democratic Republic of the Congo or an adjoining country.
·Supported the development and implementation of independent third party audits of smelter/refiner’s sourcing through our policy and procurement practices that encourage suppliers to purchase materials from audited smelters/refiners.

 

 
 

 

Based on the information that was provided by the Company’s suppliers and otherwise obtained through the due diligence process, the Company believes that, to the extent reasonably determinable by the Company, the facilities used to process the Conflict Minerals contained in the Covered Products may have included the smelters and refiners listed on Appendix A hereto.

 

Based on the information obtained pursuant to the due diligence process, the Company does not have sufficient information, with respect to the Covered Products to determine the country of origin of the Conflict Minerals in the Covered Products; however, based on the information that has been obtained, the Company has reasonably determined that countries of origin of the Conflict Minerals may include the countries listed below within Appendix A. 

 

Inherent Limitations on Due Diligence Measures

 

As a downstream purchaser of conflict minerals, the Company’s due diligence measures can provide only reasonable, not absolute, assurance regarding the source and chain of custody of the necessary conflict minerals. Our due diligence processes are based on the necessity of seeking data from our direct suppliers and those suppliers seeking similar information within their supply chains to identify the original sources of the necessary conflict minerals. Such sources of information may yield inaccurate or incomplete information.

 

 

 

 

 

 

 
 

 

APPENDIX A
SMELTERS AND REFINERS

 

The information compiled below has been reported to the Company by its suppliers or obtained from a certifying entity, such as CFSI. It is difficult to confirm the accuracy of information that was collected and transmitted through many levels of the supply chain for the Covered Products. In many cases information was provided to the Company for the entire supply chain of its suppliers, and was not necessarily limited to facilities that have been confirmed to contribute necessary Conflict Minerals to a Covered Product. As the Company’s engagement with its supply chain evolves, its list of facilities may change to reflect improvements in the quality of information provided.

 

Metal Smelter Reference List Smelter Name
Gold Aida Chemical Industries Co. Ltd. Aida Chemical Industries Co. Ltd.
Gold Allgemeine Gold-und Silberscheideanstalt A.G. Allgemeine Gold-und Silberscheideanstalt A.G.
Gold AngloGold Ashanti Mineração Ltda AngloGold Ashanti Córrego do Sítio Minerção
Gold Argor-Heraeus SA Argor-Heraeus SA
Gold Asahi Pretec Corporation Asahi Pretec Corporation
Gold Atasay Kuyumculuk Sanayi Ve Ticaret A.S. Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
Gold Aurubis AG Aurubis AG
Gold Boliden AB Boliden AB
Gold Boliden AB Boliden AB
Gold Boliden AB Boliden AB
Gold Xstrata Canada Corporation CCR Refinery – Glencore Canada Corporation
Gold Xstrata Canada Corporation CCR Refinery – Glencore Canada Corporation
Gold Chimet S.p.A. Chimet S.p.A.
Gold Dowa Dowa
Gold Heimerle + Meule GmbH Heimerle + Meule GmbH
Gold Heraeus Ltd. Hong Kong Heraeus Ltd. Hong Kong
Gold Heraeus Precious Metals GmbH & Co. KG Heraeus Precious Metals GmbH & Co. KG
Gold Ishifuku Metal Industry Co., Ltd. Ishifuku Metal Industry Co., Ltd.
Gold Istanbul Gold Refinery Istanbul Gold Refinery
Gold Japan Mint Japan Mint
Gold Johnson Matthey Inc Johnson Matthey Inc
Gold Johnson Matthey Ltd Johnson Matthey Ltd
Gold JSC Ekaterinburg Non-Ferrous Metal Processing Plant JSC Ekaterinburg Non-Ferrous Metal Processing Plant
Gold JSC Uralectromed JSC Uralectromed
Gold JX Nippon Mining & Metals Co., Ltd. JX Nippon Mining & Metals Co., Ltd.
Gold Pan Pacific Copper Co. LTD JX Nippon Mining & Metals Co., Ltd.
Gold Kazzinc Ltd Kazzinc Ltd
Gold Kennecott Utah Copper LLC Kennecott Utah Copper LLC
Gold Kojima Chemicals Co., Ltd Kojima Chemicals Co., Ltd

 

 
 

Gold L' azurde Company For Jewelry L' azurde Company For Jewelry
Gold LS-NIKKO Copper Inc. LS-NIKKO Copper Inc.
Gold Materion Materion
Gold Matsuda Sangyo Co., Ltd. Matsuda Sangyo Co., Ltd.
Gold Metalor Technologies (Hong Kong) Ltd Metalor Technologies (Hong Kong) Ltd
Gold Metalor Technologies SA Metalor Technologies SA
Gold Metalor USA Refining Corporation Metalor USA Refining Corporation
Gold Met-Mex Peñoles, S.A. Met-Mex Peñoles, S.A.
Gold Mitsubishi Materials Corporation Mitsubishi Materials Corporation
Gold Mitsui Mining and Smelting Co., Ltd. Mitsui Mining and Smelting Co., Ltd.
Gold Nadir Metal Rafineri San. Ve Tic. A.Ş. Nadir Metal Rafineri San. Ve Tic. A.Ş.
Gold Ohio Precious Metals, LLC Ohio Precious Metals, LLC
Gold OJSC Krastvetmett OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastvetmet)
Gold PAMP SA PAMP SA
Gold PT Aneka Tambang (Persero) Tbk PT Aneka Tambang (Persero) Tbk
Gold PX Précinox SA PX Précinox SA
Gold Rand Refinery (Pty) Ltd Rand Refinery (Pty) Ltd
Gold Royal Canadian Mint Royal Canadian Mint
Gold SAMWON METALS Corp. SAMWON METALS Corp.
Gold Schone Edelmetaal Schone Edelmetaal
Gold SEMPSA Joyería Platería SA SEMPSA Joyería Platería SA
Gold Shandong Zhaojin Gold & Silver Refinery Co. Ltd Shandong Zhaojin Gold & Silver Refinery Co. Ltd
Gold Shandong Zhaojin Group Co., Ltd. Shandong Zhaojin Gold & Silver Refinery Co. Ltd
Gold Zhaojin Gold & Silver Refinery Co.,Ltd Shandong Zhaojin Gold & Silver Refinery Co. Ltd
Gold Solar Applied Materials Technology Corp. Solar Applied Materials Technology Corp.
Gold SMM Sumitomo Metal Mining Co., Ltd.
Gold Toyo Smelter & Refinery (Ehime) Sumitomo Metal Mining Co., Ltd.
Gold Tanaka Denshi Kogyo K.K Tanaka Kikinzoku Kogyo K.K.
Gold Tanaka Kikinzoku Kogyo K.K. Tanaka Kikinzoku Kogyo K.K.
Gold Tanaka Kikinzoku Kogyo K.K. Tanaka Kikinzoku Kogyo K.K.
Gold China's Shandong Gold Mining Co., Ltd The Refinery of Shandong Gold Mining Co. Ltd
Gold Shandong Gold Mining (Laizhou) The Refinery of Shandong Gold Mining Co. Ltd
Gold The Refinery of Shandong Gold Mining Co. Ltd The Refinery of Shandong Gold Mining Co. Ltd
Gold Tokuriki Honten Co., Ltd Tokuriki Honten Co., Ltd
Gold Umicore Brasil Ltda Umicore Brasil Ltda
Gold Umicore SA Business Unit Precious Metals Refining Umicore SA Business Unit Precious Metals Refining
Gold United Precious Metal Refining, Inc. United Precious Metal Refining, Inc.
Gold Valcambi SA Valcambi SA
Gold AGR Matthey Western Australian Mint trading as The Perth Mint
Gold Perth Mint Western Australian Mint trading as The Perth Mint
Gold Shandong Zhaoyuan Gold Argentine refining company Zhongyuan Gold Smelter of Zhongjin Gold Corporation
Gold Zhongjin Gold Corporation Limited Zhongyuan Gold Smelter of Zhongjin Gold Corporation

 

 
 

Gold Zhongyuan Gold Smelter of Zhongjin Gold Corporation Zhongyuan Gold Smelter of Zhongjin Gold Corporation
Gold Zijin Mining Group Co. Ltd Zijin Mining Group Co. Ltd
Gold Umicore Precious Metals Thailand Umicore Precious Metals Thailand
Tantalum Changsha South Tantalum Niobium Co., Ltd. Changsha South Tantalum Niobium Co., Ltd.
Tantalum Conghua Tantalum and Niobium Smeltry Conghua Tantalum and Niobium Smeltry
Tantalum Douluoshan Sapphire Rare Metal Co Ltd Duoluoshan
Tantalum Exotech Inc. Exotech Inc.
Tantalum F&X Electro-Materials Ltd. F&X Electro-Materials Ltd.
Tantalum Guangdong Zhiyuan New Material Co., Ltd. Guangdong Zhiyuan New Material Co., Ltd.
Tantalum Hi-Temp Hi-Temp
Tantalum JiuJiang JinXin Nonferrous Metals Co., Ltd. JiuJiang JinXin Nonferrous Metals Co. Ltd.
Tantalum Jiujiang Tanbre Co., Ltd. Jiujiang Tanbre Co.,Ltd
Tantalum LSM Brasil S.A. LMS Brasil S.A.
Tantalum Mineração Taboca S.A. Mineração Taboca S.A
Tantalum Molycorp Silmet A.S. Molycorp Silmet A.S.
Tantalum Ningxia Orient Tantalum Industry Co., Ltd. Ningxia Orient Tantalum Industry Co., Ltd.
Tantalum Ulba Ulba
Tantalum Zhuzhou Cement Carbide Zhuzhou Cement Carbide
Tantalum KEMET Blue Metals KEMET Blue Metals
Tantalum Plansee SE Liezen Plansee SE Liezen
Tantalum H.C. Starck Co., Ltd. H.C. Starck Co., Ltd.
Tantalum H.C. Starck GmbH Goslar H.C. Starck GmbH Goslar
Tantalum H.C. Starck GmbH Laufenburg H.C. Starck GmbH Laufenburg
Tantalum H.C. Starck Hermsdorf GmbH H.C. Starck Hermsdorf GmbH

 

 
 

Tantalum H.C. Starck Inc. H.C. Starck Inc.
Tantalum H.C. Starck Ltd. H.C. Starck Ltd.
Tantalum Plansee SE Reutte Plansee SE Reutte
Tantalum Global Advanced Metals Boyertown Global Advanced Metals Boyertown
Tantalum Global Advanced Metals Aizu Global Advanced Metals Aizu
Tantalum KEMET Blue Powder KEMET Blue Powder
Tin Alpha Alpha
Tin Cookson Alpha
Tin Cooper Santa Cooper Santa
Tin CV United Smelting CV United Smelting
Tin Complejo Metalurgico Vinto S.A. EM Vinto
Tin EMPERESA METALURGICA VINTO EM Vinto
Tin Empressa Nacional de Fundiciones (ENAF) EM Vinto
Tin Gejiu Non-Ferrous Metal Processing Co. Ltd. Gejiu Non-Ferrous Metal Processing Co. Ltd.
Tin Mineração Taboca S.A. Mineração Taboca S.A.
Tin Taboca Mineração Taboca S.A.
Tin Amalgamated Metal Corp PLC Minsur
Tin Funsur Minsur
Tin Minsur Minsur
Tin Mitsubishi Materials Corporation Mitsubishi Materials Corporation
Tin OMSA OMSA
Tin OMSA - Operaciones Metalúrgicas S. A. OMSA
Tin PT Artha Cipta Langgeng PT Artha Cipta Langgeng
Tin PT Babel Inti Perkasa PT Babel Inti Perkasa
Tin PT Bangka Kudai Tin PT Bangka Kudai Tin
Tin Ketapang PT Bangka Putra Karya
Tin PT Bangka Putra Karya PT Bangka Putra Karya
Tin PT Bangka Tin Industry PT Bangka Tin Industry
Tin PT Bangka Tin Industry PT Bangka Tin Industry
Tin PT Belitung Industri Sejahtera PT Belitung Industri Sejahtera
Tin Indra Eramulti Logam PT Bukit Timah
Tin PT Bukit Timah PT Bukit Timah
Tin PT Indora Ermulti Logam Industri PT Bukit Timah
Tin CV DS Jaya Abadi PT DS Jaya Abadi
Tin PT DS Jaya Abadi PT DS Jaya Abadi
Tin PT DS Jaya Abadi PT DS Jaya Abadi
Tin PT Eunindo Usaha Mandiri PT Eunindo Usaha Mandiri
Tin PT Mitra Stania Prima PT Mitra Stania Prima
Tin CV Prima Timah Utama PT Prima Timah Utama

 

 
 

Tin PT REFINED BANGKA TIN PT REFINED BANGKA TIN
Tin PT Sariwiguna Binasentosa PT Sariwiguna Binasentosa
Tin PT Stanindo Inti Perkasa PT Stanindo Inti Perkasa
Tin PT Tambang Timah PT Tambang Timah
Tin PT TAMBANG TIMAH (BANKA) PT Tambang Timah
Tin Bangka Tin,Mentok,PT Timah (Persero) TBK PT Timah (Persero), Tbk
Tin Indonesia State Tin Corporation, MentokSmelter PT Timah (Persero), Tbk
Tin Mentok Smelter (PT Timah) PT Timah (Persero), Tbk
Tin PT Timah PT Timah (Persero), Tbk
Tin Timah Indonesian State Tin Corporation PT Timah (Persero), Tbk
Tin PT Tinindo Inter Nusa PT Tinindo Inter Nusa
Tin Soft Metais, Ltda. Soft Metais, Ltda.
Tin Thaisarco Thaisarco
Tin Thailand Smelting & Refining Co., Ltd Thaisarco
Tin White Solder Metalurgia e Mineração Ltda. White Solder Metalurgia e Mineração Ltda.
Tin YTCL Yunnan Tin Company, Ltd.
Tin Yunnan Tin Company, Ltd. Yunnan Tin Company, Ltd.
Tin Yuntinic Resources Yunnan Tin Company, Ltd.
Tin Yuntinic Chemical GmbH Yunnan Tin Company, Ltd.
Tin Magnu's Minerais Metais e Ligas LTDA Magnu's Minerais Metais e Ligas LTDA
Tungsten Chongyi Zhangyuan Tungsten Co Ltd Chongyi Zhangyuan Tungsten Co Ltd
Tungsten Hunan Chun-Chang Nonferrous Smelting & Concentrating Co., Ltd. Hunan Chun-Chang Nonferrous Smelting & Concentrating Co., Ltd.
Tungsten China National Nonferrous Industry Corp. Ganzhou Huaxing Tungsten Products Co., Ltd.
Tungsten Ganzhou Huaxing Tungsten Products Co., Ltd. Ganzhou Huaxing Tungsten Products Co., Ltd.
Tungsten Xiamen Tungsten Co., Ltd Xiamen Tungsten Co., Ltd
Tungsten Jiangxi Xinsheng Tungsten Industry Co., Ltd. Jiangxi Xinsheng Tungsten Industry Co., Ltd.
Tungsten Ganzhou Seadragon W & Mo Co., Ltd. Ganzhou Seadragon W & Mo Co., Ltd.

 

 

 

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