UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM SD

 

 

Specialized Disclosure Report

 

 

Ampco-Pittsburgh Corporation

(Exact name of registrant as specified in its charter)

 

 

 

Pennsylvania   001-00898   25-1117717

(State or other jurisdiction

of incorporation)

 

(Commission

File Number)

 

(IRS Employer

Identification No.)

726 Bell Avenue, Suite 301, Carnegie, Pennsylvania   15106
(Address of principal executive office)   (Zip Code)

(412) 456-4400

Registrant’s telephone number, including area code

Maria Trainor

Vice President, General Counsel & Secretary

(412) 456-4470

(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.

 

 

 


Item   1.01

Conflict Minerals Disclosure and Report

Introduction

This Specialized Disclosure Report on Form SD (this “ Report ”) is filed pursuant to Rule 13p-1 promulgated under the Securities Exchange Act of 1934, as amended (the “ Exchange Act ”), for the reporting period from January 1, 2018 to December 31, 2018. This rule requires disclosure of certain information when a company manufactures or contracts to manufacture products for which gold, columbite-tantalite (coltan), cassiterite, wolframite, tantulum, tin and/or tungsten (collectively, the “ Conflict Minerals ”) are necessary to the functionality or production of such products.

Ampco-Pittsburgh Corporation (including its consolidated subsidiaries as the context may require, the “ Corporation ” or the “ Registrant ”) has determined that tin and tungsten (together, the “ Identified Minerals ”) were necessary to the functionality or production of one or more products manufactured by the Corporation or contracted by the Corporation to be manufactured (the “ Covered Products ”) during the period covered by this Report. As such, the Corporation has conducted in good faith a reasonable country of origin inquiry (an “ RCOI ”) to determine whether any of the Identified Minerals in the Covered Products (1) originated in the Democratic Republic of the Congo or any adjoining country (i.e., Angola, Burundi, Central African Republic, the Republic of the Congo, Rwanda, South Sudan, Tanzania, Uganda or Zambia) (the “ Covered Countries ”) or (2) are from recycled or scrap sources.

As discussed more fully below, based on the Corporation’s RCOI, the Corporation has concluded that (a) it does not have any reason to believe that any of the Identified Minerals used in connection with the Covered Products may have originated in a Covered Country or (b) it has reason to believe that the Identified Minerals used in connection with the Covered Products may be from recycled or scrap sources.

The Corporation and its Business Segments

The Corporation was incorporated in Pennsylvania in 1929 and manufactures and sells highly engineered, high performance specialty metal products and customized equipment utilized by industry throughout the world. The Corporation classifies its business in two segments: Forged and Cast Engineered Products and Air and Liquid Processing.

Forged and Cast Engineered Products Segment

The Forged and Cast Engineered Products segment, consisting of Union Electric Steel Corporation and its direct and indirect subsidiaries (collectively, “UES”), has operations in the United States, England, Sweden, Slovenia and Canada and has an equity interest in three joint-venture companies in China. The companies comprising this segment produce ingot, forged products and cast products that service a wide variety of industries globally. The Forged and Cast Engineered Products segment specializes in the production of forged hardened steel rolls used mainly for cold rolling by producers of steel, aluminum and other metals and cast rolls for hot and cold strip mills, medium/heavy section mills and plate mills in a variety of iron and steel qualities. In addition, this segment produces ingot and open-die forged products which are used in the gas and oil industry and the aluminum and plastic extrusion industries.

Air and Liquid Processing Segment

The Air and Liquid Processing segment consists of Aerofin, Buffalo Air Handling and Buffalo Pumps, all divisions of Air & Liquid Systems Corporation, a wholly-owned subsidiary of the Corporation. This segment has operations in Virginia and New York, with headquarters in Carnegie, Pennsylvania, and distributes a significant portion of its products through a common independent group of sales offices located throughout the United States and Canada.

Aerofin produces custom-engineered finned tube heat exchange coils and related heat transfer products for a variety of industries including OEM/commercial, fossil fuel power generation, nuclear power generation and industrial manufacturing.

 

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Buffalo Air Handling produces large custom-designed air handling systems for institutional markets (e.g., hospitals and universities), pharmaceutical markets and general industrial building markets.

Buffalo Pumps manufactures centrifugal pumps for the fossil fuel power generation, marine defense and industrial refrigeration industries.

Reasonable Country of Origin Inquiry

In accordance with the Exchange Act and the rules and regulations thereunder, the Corporation performed an assessment of its product line to examine which of the products manufactured by it or contracted to be manufactured by it contained one or more Conflict Minerals that were necessary for the functionality or production of such identified products. The Corporation concluded that certain of its products contained one or more of the Identified Minerals of tin and tungsten. Consequently, the Corporation conducted in good faith an RCOI with respect to the Identified Minerals in such Covered Products. The purpose of the RCOI was to determine whether any of such Identified Minerals (1) originated in a Covered Country or (2) are from recycled or scrap sources.

After identifying the Covered Products, the Corporation then identified which supplier may have provided materials included in the Covered Products that potentially contained any of the Identified Minerals. The Corporation contacted each of these suppliers and informed them of its obligations with respect to conducting an RCOI and filing this Report pursuant to the Exchange Act. The Corporation also provided each of these suppliers with the most recent due diligence template developed by the Electronic Industry Citizenship Coalition (the “ EICC ”) and the Global e-Sustainability Initiative (the “ GeSI ”), commonly referred to as the Conflict Mineral Report Template (the “ CMRT ”).

The Corporation uses a network of suppliers from numerous countries across multiple continents. The materials sourced from the Corporation’s suppliers are not purchased directly from the smelters where they originated. As such, the Corporation relies on information provided by its suppliers who are, in many cases, themselves sometimes several tiers separated from the smelter at which the original minerals were smelted. The Corporation’s suppliers (many of whom are not subject to the reporting requirements of the Exchange Act) rely on their own suppliers to provide them with information regarding the materials that they source, or they may purchase the materials on the secondary market from recycled or scrap sources.

Once the information was received from suppliers, the Corporation compiled all of the CMRTs and analyzed them individually and compared the smelters and refiners identified in the CMRT supply-chain survey against the list of smelter facilities which have been identified as “conflict free” by programs such as the Conflict-Free Smelter Program of the EICC/GeSI Conflict-Free Sourcing Initiative (the “ CFSI ”).

Results of the Corporation’s Good Faith RCOI and Due Diligence Process

Suppliers & Smelters

In connection with the Corporation’s use of tin and tungsten in Covered Products, a total of 22 suppliers were identified through the Corporation’s due diligence process:

 

   

12 suppliers of tungsten to UES;

 

   

2 suppliers of tin and 1 supplier of tungsten and tin to Aerofin;

 

   

1 supplier of tungsten to Buffalo Air Handling; and

 

   

10 suppliers of tin to Buffalo Pumps.

Each of these suppliers reported to the Corporation that the supplied Identified Minerals were (1) not sourced from a Covered Country or (2) originated from recycled or scrap sources.

 

3


Despite the Corporation’s best efforts to follow up with certain suppliers, the Corporation did not receive complete and thorough responses from all of them. There are numerous reasons for the Corporation’s inability to receive complete responsiveness from its suppliers and to identify the full supply chain or originating smelter:

 

   

the Corporation is wholly dependent on information received from its direct suppliers to conduct its good faith RCOI process;

 

   

many suppliers are not subject to the reporting requirements of the Exchange Act;

 

   

the Corporation’s suppliers operate with varying levels of sophistication and contact with the parties necessary to provide accurate information regarding the smelter name and location for all of the Identified Minerals; and

 

   

it is difficult to require cooperation from suppliers who are, in some cases, multiple tiers away from the smelter of the Identified Minerals.

As a result, the Corporation has not been able to identify all of the smelters from which its suppliers sourced the Identified Minerals (other than those identified as from recycled or scrap sources). For the Identified Minerals for which the Corporation was able to identify information about the smelter through the relevant supplier, the name and location of that smelter is indicated in the tables below. Because this information is provided by the Corporation’s suppliers, the Corporation cannot be certain that these smelters were in fact in the Corporation’s supply chain.

The Corporation has noted that each of the smelters identified below, other than those marked with an asterisk (the “ Identified Smelters ”), is currently on the conflict-free smelters list published by the CFSI. In addition, each of the Corporation’s suppliers of Identified Minerals sourced from the Identified Smelters has indicated to the Corporation that the applicable Identified Smelter does not source the Identified Mineral from any Covered Country.

 

1.

The following smelters were responsible for the tungsten sourced by suppliers of UES:

 

Smelter Name    Location of Smelter

Asia Tungsten Products Vietnam Ltd.

  

Vietnam

Chongyi Zhangyuan Tungsten Co., Ltd.

  

China

Fujian Jinxin Tungsten Co., Ltd

  

China

Ganzhou Huaxing Tungsten Products Co., Ltd.

  

China

Ganzhou Jiangwu Ferrotungsten Co., Ltd.

  

China

Ganzhou Seadragon W & Mo Co., Ltd.

  

China

Guangdong Xianglu Tungsten Co., Ltd.

  

China

Hunan Chuangda Vanadium Tungsten Co., Ltd.

  

China

Jiangxi Minmetals Gao’an Non-Ferrous Metals Co., Ltd.

  

China

Jiangxi Xinsheng Tungsten Industry Co., Ltd.

  

China

Tejing (Vietnam) Tungsten Co., Ltd.

  

Vietnam

Vietnam Youngsun Tungsten Industry Co., Ltd.

  

Vietnam

Xiamen Tungsten Co., Ltd.

  

China

Xinhai Rendan Shaoguan Tungsten Co., Ltd.

  

China

 

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2.

The following smelters were responsible for the tin sourced by suppliers of Aerofin:

 

Smelter Name    Location of Smelter

Alpha

  

United States of America

An Thai Minerals Co., Ltd.

  

Vietnam

An Vinh Joint Stock Mineral Processing Company

  

Vietnam

Chenzou Yunxiang Mining and Metallurgy Co., Ltd.

  

China

Chifeng Dajingzi Tin Industry Co., Ltd.

  

China

China Tin Group Co., Ltd.

  

China

China Yunnan Tin Co Ltd.

  

China

CNMC (Guangxi) PGMA Co., Ltd.

  

China

Cooperativa Metalurgica de Rondônia Ltda.

  

Brazil

CV Ayi Jaya

  

Indonesia

CV Dua Sekawan

  

Indonesia

CV Gita Pesona

  

Indonesia

CV Tiga Sekawan

  

Indonesia

CV United Smelting

  

Indonesia

CV Venus Inti Perkasa

  

Indonesia

Dowa

  

Japan

Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company

  

Vietnam

Elmet SMU

  

Spain

EM Vinto

  

Bolivia

Estanho de Rondonia S.A.

  

Brazil

Fenix Metals

  

Poland

Gejiu Fengming Metallurgy Chemical Plant

  

China

Gejiu Jinye Mineral Company

  

China

Gejiu Kai Meng Industry and Trade LLC

  

China

Gejiu Non-Ferrous Metal Processing Co., Ltd.

  

China

Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.

  

China

Gejiu Zili Mining And Metallurgy Co., Ltd.

  

China

Guangdong Hanhe Non-Ferrous Metal Co., Ltd.

  

China

HuiChang Hill Tin Industry Co., Ltd.

  

China

Huichang Jinshunda Tin Co., Ltd.

  

China

Jiangxi Ketai Advanced Material Co., Ltd.

  

China

Jiangxi Nanshan

  

China

Jiangxi New Nanshan Technology Ltd.

  

China

Magnu’s Minerais Metais e Ligas Ltda.

  

Brazil

Malaysia Smelting Corporation (MSC)

  

Malaysia

Melt Metals e Lingas S.A.

  

Brazil

Metallic Resources Inc.

  

United States of America

Metallo Belgium N.V.

  

Belgium

Metallo Spain S.L.U.

  

Spain

Mineração Taboca S.A.

  

Brazil

Minsur

  

Peru

Mitsubishi Materials Corporation

  

Japan

Modeltech Sdn Bhd

  

Malaysia

Nghe Tinh Non-Ferrous Metals Joint Stock Company

  

Vietnam

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

  

Thailand

O.M. Manufacturing Philippines, Inc.

  

Philippines

 

5


Smelter Name    Location of Smelter

Operaciones Metallurgica S.A.

  

Bolivia

PT Aries Kencana Sejahtera

  

Indonesia

PT Artha Cipta Langgeng

  

Indonesia

PT ATD Makmur Mandiri Jaya

  

Indonesia

PT Babel Inti Perkasa

  

Indonesia

PT Banka Prima Tin

  

Indonesia

PT Bangka Serumpun

  

Indonesia

PT Bangka Tin Industry

  

Indonesia

PT Belitung Industri Sejahtera

  

Indonesia

PT Bukit Timah

  

Indonesia

PT Cipta Persada Mulia

  

Indonesia

PT DS Jaya Abadi

  

Indonesia

PT Enuindo Usaha Mandiri

  

Indonesia

PT Inti Stania Prima

  

Indonesia

PT Justindo

  

Indonesia

PT Karimun Mining

  

Indonesia

PT Kijang Jaya Mandiri

  

Indonesia

PT Lautan Harmonis Sejahtera

  

Indonesia

PT Menara Cipta Mulia

  

Indonesia

PT Mitra Stania Prima

  

Indonesia

PT Panca Mega Persada

  

Indonesia

PT Premium Tin Indonesia

  

Indonesia

PT Prima Timah Utarna

  

Indonesia

PT Refined Banka Tin

  

Indonesia

PT Sariwiguna Binasentosa

  

Indonesia

PT Stanindo Inti Perkasa

  

Indonesia

PT Sukses Inti Makmur

  

Indonesia

PT Sumber Jaya Indah

  

Indonesia

PT Timah (Persero) Tbk Kundur

  

Indonesia

PT Timah (Persero) Tbk Mentok

  

Indonesia

PT Tinindo Inter Nusa

  

Indonesia

PT Tommy Utama

  

Indonesia

Resind Industria e Comercio Ltda.

  

Brazil

Rui Da Hung

  

Taiwan

Soft Metals Ltda.

  

Brazil

Thaisarco

  

Thailand

Toboca/ Paranapenema

  

Brazil

VOB Mineral and Trading Group JSC

  

Vietnam

White Solder Metalurgia e Mineração Ltda.

  

Brazil

 

3.

The following smelters were responsible for the tungsten sourced by suppliers of Aerofin:

 

Smelter Name    Location of Smelter

A.L.M.T. TUNGSTEN Corp.

  

Japan

ACL Metais Eireli

  

Brazil

Asia Tungsten Products Vietnam Ltd.

  

Vietnam

Chenzhou Diamond Tungsten Products Co., Ltd.

  

China

Chongyi Zhangyuan Tungsten Co., Ltd.

  

China

Fujian Jinxin Tungsten Co., Ltd.

  

China

Ganzhou Haichuang Tungsten Co., Ltd.

  

China

Ganzhou Huaxing Tungsten Products Co., Ltd.

  

China

Ganzhou Jiangwu Ferrotungsten Co., Ltd.

  

China

Ganzhou Seadragon W & Mo Co., Ltd.

  

China

Ganzhou Yatai Tungsten Co., Ltd.

  

China

Global Tungsten & Powders Corp.

  

United States of America

Guangdong Xianglu Tungsten Co., Ltd.

  

China

 

6


Smelter Name    Location of Smelter

H.C. Starck Smelting GmbH & Co. KG

  

Germany

H.C. Starck Tungsten GmbH

  

Germany

Hunan Chenzhou Mining Co., Ltd.

  

China

Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji

  

China

Hunan Chunchang Nonferrous Metals Co., Ltd.

  

China

Hunan Litian Tungsten Industry Co., Ltd.

  

China

Hydrometallurg, JSC

  

Russia

Japan New Metals Co., Ltd.

  

Japan

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

  

China

Jiangxi Dayu Longxintai Tungsten Co., Ltd.

  

China

Jiangxi Gan Bei Tungsten Co., Ltd.

  

China

Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.

  

China

Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.

  

China

Jiangxi Xinsheng Tungsten Industry Co., Ltd.

  

China

Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.

  

China

Jiangxi Yaosheng Tungsten Co., Ltd.

  

China

Kennametal Fallon

  

Belgium

Kennametal Huntsville

  

Vietnam

Malipo Haiyu Tungsten Co., Ltd.

  

China

Moliren Ltd.

  

Russia

Niagara Refining LLC

  

United States of America

Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC

  

Brazil

Philippine Chuangxin Industrial Co., Inc.

  

Philippines

South-East Nonferrous Metal Company Limited of Hengyang City

  

China

Tejing (Vietnam) Tungsten Co., Ltd.

  

Vietnam

Unecha Refractory metals plant

  

Russia

Vietnam Youngsun Tungsten Industry Co., Ltd.

  

Vietnam

Wolfram Bergbau und Hütten AG

  

Austria

Woltech Korea Co., Ltd.

  

Republic of Korea

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

  

China

Xiamen Tungsten Co., Ltd.

  

China

Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.

  

China

Xinhai Rendan Shaoguan Tungsten Co., Ltd.

  

China

 

4.

The following smelters were responsible for the tungsten sourced by suppliers of Buffalo Air Handling:

 

Smelter Name    Location of Smelter

Chongyi Zhangyuan Tungsten Co., Ltd

  

China

Ganzhou Huaxing Tungsten Products Co., Ltd.

  

China

Jiangxi Gan Bei Tungsten Products Co., Ltd.

  

China

Wolfram Bergbau und Hutten AG

  

Austria

Xiamen Tungsten Co., Ltd.

  

China

 

5.

The following smelters were responsible for the tin sourced by suppliers of Buffalo Pumps:

 

Smelter Name    Location of Smelter

Alpha

   United States of America

CNMC (Guangxi) PGMA Co., Ltd.

   China

Cooperativa Metalurgica de Rondônia Ltda.

   Brazil

CV Ayi Jaya

   Indonesia

CV Dua Sekawan

   Indonesia

CV Tiga Sekawan

   Indonesia

CV United Smelting

   Indonesia

 

7


Smelter Name    Location of Smelter

CV Venus Inti Perkasa

   Indonesia

EM Vinto

   Bolivia

Fenix Metals

   Poland

Gejiu Non-Ferrous Metal Processing Co., Ltd.

   China

Gejiu Zili Mining and Metallurgy Co., Ltd.*

   China

Guangdong Hanhe Non-Ferrous Metal Co., Ltd

   China

Huichang Jinshunda Tin Co., Ltd

   China

Jiangxi New Nanshan Technology Ltd.

   China

Kai Unita Trade Limited Liability Company

   China

Malaysia Smelting Corporation (MSC)

   Malaysia

Metallo Belgium N.V.

   Belgium

Mineração Taboca S.A.

   Brazil

Minsur

   Peru

Operaciones Metalurgical S.A.

   Bolivia

PT Artha Cipta Langgeng

   Indonesia

PT ATD Makmur Mandiri Jaya

   Indonesia

PT Babel Inti Perkasa

   Indonesia

PT Bangka Prima Tin

   Indonesia

PT Bangka Timah Utama Sejahtera*

   Indonesia

PT Banka Tin Industry

   Indonesia

PT Belitung Industri Sejahtera

   Indonesia

PT Bukit Timah

   Indonesia

PT DS Jaya Abadi

   Indonesia

PT Eunindo Usaha Mandiri

   Indonesia

PT Inti Stania Prima

   Indonesia

PT Lautan Harmonis Sejahtera

   Indonesia

PT Menara Cipta Mulia

   Indonesia

PT Mitra Stania Prima

   Indonesia

PT Prima Timah Utama

   Indonesia

PT Refined Bangka Tin

   Indonesia

PT Sariwiguna Binasentosa

   Indonesia

PT Stanindo Inti Perkasa

   Indonesia

PT Sukses Inti Makmur

   Indonesia

PT Timah (Persero) Tbk Kundur

   Indonesia

PT Timah (Persero) Tbk Mentok

   Indonesia

PT Tinindo Inter Nusa

   Indonesia

PT Tommy Utama

   Indonesia

Rui Da Hung

   Taiwan

Soft Metais Ltda.

   Brazil

Taboca/Paranapenema

   Brazil

Thaisarco

   Thailand

Unit Timah Kundur PT Tambang

   Indonesia

White Solder Metalurgia e Mineração Ltda.

   Brazil

Yunnan Tin Company Limited

   China

Conclusion

Based on the information obtained pursuant to the good faith RCOI and due diligence processes described above, the Corporation has concluded that:

 

   

it does not have any reason to believe that any of the Identified Minerals used in connection with the Covered Products may have originated in a Covered Country; or

 

   

it has reason to believe that the Identified Minerals used in connection with the Covered Products may be from recycled or scrap sources.

 

8


Website Disclosure

This Report, including this Conflict Minerals Disclosure, is available at the Corporation’s website at www.ampcopittsburgh.com. The information on, or otherwise available through, the Corporation’s website is not part of this Report.

Forward-Looking Statements

This Report includes forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995 that involve various risks and uncertainties. All statements in this Report other than statements of historical fact are statements that are, or could be, deemed forward-looking statements within the meaning of such Act. Words such as “may,” “intend,” “will,” “believe” and “expect,” and other terms of similar meaning that indicate future events and trends are also generally intended to identify forward-looking statements. Forward-looking statements are not guarantees of future performance. Except as required by applicable law, the Corporation assumes no obligation, and disclaims any obligation, to update forward-looking statements whether as a result of new information, events or otherwise.

 

9


SIGNATURE

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 undersigned hereunto duly authorized.

 

AMPCO-PITTSBURGH CORPORATION
By:   /s/ Maria Trainor
Name:     Maria Trainor
Title:   Vice President, General Counsel & Secretary

Dated: May 23, 2019

 

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