UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM SD
Specialized Disclosure Report
ENDO INTERNATIONAL PLC
(Exact Name of Registrant as Specified in its Charter)
Ireland | 001-36326 | 68-0683755 | ||
(State or Other Jurisdiction of Incorporation or Organization) |
(Commission File Number) |
(IRS Employer Identification No.) | ||
First Floor, Minerva House, Simmonscourt Road, Ballsbridge, Dublin 4, Ireland |
Not Applicable | |||
(Address of principal executive offices) | (Zip Code) |
Matthew J. Maletta
Executive Vice President, Chief Legal Officer
011-353-1-268-2000
(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:
x | Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2015 |
Section 1 Conflict Minerals Disclosure
Item 1.01 and 1.02 Conflict Minerals Disclosure and Report, Exhibit
A copy of the Conflict Minerals Report of Endo International plc is filed as Exhibit 1.01 hereto and is publicly available at www.endo.com.
Section 2 Exhibits
Item 2.01 | Exhibits |
Exhibit 1.01 Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form.
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.
ENDO INTERNATIONAL PLC | ||||||
(Registrant) | ||||||
By: | /s/ Matthew J. Maletta |
|||||
Name: | Matthew J. Maletta | May 31, 2016 | ||||
Title: | Executive Vice President, | |||||
Chief Legal Officer |
Exhibit 1.01
Conflict Minerals Report of Endo International plc
For the Year Ended December 31, 2015
We have made statements in this conflict minerals report that may constitute forward-looking statements about our plans to take additional actions or to implement additional policies or procedures with respect to our due diligence efforts to determine the origin of certain minerals contained in our products. We undertake no obligation to publicly update or revise any forward-looking statement, whether as a result of new information, future events or otherwise. Our reporting obligations under the conflict minerals rules may change in the future and our ability to implement certain processes or obtain information from our suppliers may differ materially from those anticipated or implied in this report.
Introduction
This is the Conflict Minerals Report of Endo International plc, including its wholly owned subsidiaries, (Endo, we and our) for calendar year 2015 in accordance with Rule 13p-1 (Rule 13p-1) under the Securities Exchange Act of 1934, as amended (the 1934 Act). A copy of this conflict minerals report is publicly available on our website at www.endo.com.
As used in this report, the term conflict minerals refers to gold, cassiterite, columbite-tantalite, wolframite and their derivatives tin, tantalum and tungsten.
Endo is a global specialty healthcare company focused on branded and generic pharmaceuticals. None of our pharmaceutical products contain conflict minerals. During the year, we identified certain products of our previously wholly owned subsidiary American Medical Systems Holdings, Inc. (AMS) that contained conflict minerals. Those products were part of the product portfolio of AMS benign prostatic hyperplasia (BPH) business.
On August 3, 2015, Endo completed the sale of the BPH product portfolio as part of its sale of the AMS Mens Health and Prostate Health business to Boston Scientific Corporation. The scope of the 2015 conflict minerals efforts covered BPH products that were manufactured from January 1, 2015 to August 3, 2015.
Reasonable Country of Origin Inquiry (RCOI)
In accordance with Rule 13p-1, Endo, through a third-party service provider, conducted a RCOI to determine whether any of the conflict minerals originated in the Democratic Republic of the Congo or an adjoining country (collectively, the Covered Countries) or are from recycled or scrap sources.
Because Endo is several steps removed in the overall supply chain from the mining of such conflict minerals, does not make purchases of raw ore or unrefined conflict minerals and does not make purchases in the Covered Countries, our service provider conducted our RCOI by surveying AMSs suppliers about the origin of the conflict minerals contained in the parts and materials that they supplied to AMS.
The RCOI survey included AMSs top 80% direct suppliers, by spend. Our service provider surveyed these suppliers using the standard Conflict-Free Sourcing Initiative (CFSI) Conflict Minerals Reporting Template (CMRT). We are relying on the results of the RCOI survey performed in 2014 as there were no significant
changes to the BPH supply chain or products since completion of the survey. Based on the RCOI responses, we had reasons to believe that the necessary conflict minerals contained in our products may have originated from the Covered Countries. Accordingly, we undertook measures, with the assistance of our service provider, to exercise due diligence to determine the source and chain of custody of those conflict minerals. Responses collected are archived in our internal conflict minerals database, in accordance with Endos record retention policy.
Design of Conflict Minerals Due Diligence Program
We designed our due diligence program to be in conformity, in all material respects, with the Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (Second Edition), and the related supplements (OECD Guidance), published by the Organisation for Economic Co-operation and Development (OECD).
Our due diligence program includes the following measures:
1. | Establish strong company management systems: |
| Conflict Minerals Policy: |
The mining of minerals used to produce tantalum, tin, tungsten, and gold (3TG) in the Covered Countries has been linked to the funding of armed groups waging a civil war in the country. These metals are widely used in the components and assembly processes of electrical and electronic products and in many other industries.
In accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act, passed in 2010, Rule 13p-1 and the SEC instructions for the annual filing of Form SD, Specialized Disclosure Report, Endo is committed to complying with the Conflict Minerals Final Rule.
Endo has adopted the OECD Guidance, an internationally recognized due diligence framework. We are taking the following steps to determine that our subsidiaries products are conflict free:
| Supporting the Electronic Industry Citizenship Coalition (EICC) and Global e-Sustainability Initiative (GeSi) Conflict-Free Smelter (CFS) program; |
| Informing the Endo supply base of the Endo Policy on Conflict Minerals, and performing RCOI using the CMRT from suppliers that supply parts that may contain any of the 3TG; and |
| Conducting due diligence on the source and chain of custody of conflict minerals, if found. |
| Endos conflict minerals policy and report are publicly available at: www.endo.com. |
| A cross-functional management team oversees our procedures related to assessing the use of conflict minerals. |
2. | Identify and assess risks in our supply chain: |
| Analyzed the bill of materials for each medical device product to assess the presence of conflict minerals. |
| Engaged a third-party service provider to administer the RCOI and assist in the due diligence measures on the source and chain of custody of the necessary conflict minerals in our products that we had reason to believe may have originated from the Covered Countries and may not have come from scrap or recycled sources. |
| Reviewed the CMRT responses from suppliers for accuracy. Where suppliers provided information that was incomplete or inconsistent with AMSs expectations on the presence of conflict minerals in the parts, the third-party service provider followed up with these suppliers to seek additional clarifying information. |
| Used the recognized due diligence tools created by the CFSI in the evaluation of supplier responses regarding smelters and refiners that may use the necessary conflict minerals in our products. |
| Compared the smelters and refiners identified in the CMRT against the list of those identified as compliant by the CFS Program. |
| Documented the country of origin information for the smelters identified in the CMRT responses using CFSI data. |
3. | Design and implement a strategy to respond to identified risks |
| Suppliers that were non-responsive or provided incorrect information during the RCOI process are flagged as high-risk. |
| Supply chain management will work to resolve identified issues with the high-risk suppliers. |
4. | Support the development and implementation of independent third-party audits of smelter or refiners due diligence practices: |
| Support industry efforts, such as the CFS Program. |
5. | Report on supply chain due diligence: |
| After conducting the due diligence measures described above, we did not have sufficient information to determine the country of origin of all of the conflict minerals contained in AMSs BPH products. We have, however, identified CFSI certified smelters that source from the Covered Countries. |
| Appendix A lists known smelters and refiners that participate in the CFS Program, including those that were certified as compliant or have committed to undergo a CFSI audit. |
Independent Private Sector Audit
This Conflict Minerals Report is not subject to an independent private sector audit under Rule 13p-1.
Future Due Diligence Measures
On August 3, 2015, Endo divested the BPH product line, which represented the entirety of its operations impacted by conflict minerals disclosures, and, therefore, Endo no longer manufactures or contracts to manufacture products that contain such conflict minerals. Going forward, Endo will continue to monitor its use of Conflict Minerals. Endo currently does not anticipate needing to file a Conflict Minerals Report for the year ending December 31, 2016.
Appendix A: List of known smelters and refiners that participate in the CFS Program, including those that were certified as compliant or have committed to undergo an audit.
Metal |
Name |
Country |
ID | |||
Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | GERMANY | CID000035 | |||
Gold | AngloGold Ashanti Córrego do Sítio Mineração | BRAZIL | CID000058 | |||
Gold | Argor-Heraeus SA | SWITZERLAND | CID000077 | |||
Gold | Asahi Pretec Corporation | JAPAN | CID000082 | |||
Gold | Asaka Riken Co Ltd | JAPAN | CID000090 | |||
Gold | Cendres + Métaux SA | SWITZERLAND | CID000189 | |||
Gold | Boliden AB | SWEDEN | CID000157 | |||
Gold | CCR Refinery - Glencore Canada Corporation | CANADA | CID000185 | |||
Gold | Chimet S.p.A. | ITALY | CID000233 | |||
Gold | Tanaka Kikinzoku Kogyo K.K. | JAPAN | CID001875 | |||
Gold | Gulidov Krasnoyarsk Non-Ferrous Metals Plant (OJSC Krastvetmet) | RUSSIAN FEDERATION | CID001326 | |||
Gold | Heraeus Ltd. Hong Kong | HONG KONG | CID000707 | |||
Gold | Heraeus Precious Metals GmbH & Co. KG | GERMANY | CID000711 | |||
Gold | Johnson Matthey Inc | UNITED STATES | CID000920 | |||
Gold | Johnson Matthey Limited | CANADA | CID000924 | |||
Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | RUSSIAN FEDERATION | CID000927 | |||
Gold | JX Nippon Mining & Metals Co., Ltd. | JAPAN | CID000937 | |||
Gold | Kazzinc Ltd | KAZAKHSTAN | CID000957 | |||
Gold | Kennecott Utah Copper LLC | UNITED STATES | CID000969 | |||
Gold | Kojima Chemicals Co., Ltd | JAPAN | CID000981 | |||
Gold | LS-NIKKO Copper Inc. | KOREA, REPUBLIC OF | CID001078 | |||
Gold | Matsuda Sangyo Co., Ltd. | JAPAN | CID001119 | |||
Gold | Metalor Technologies SA | SWITZERLAND | CID001153 | |||
Gold | Metalor Technologies (Hong Kong) Ltd | HONG KONG | CID001149 | |||
Gold | METALÚRGICA MET-MEX PEÑOLES, S.A. DE C.V | MEXICO | CID001161 | |||
Gold | Mitsubishi Materials Corporation | JAPAN | CID001188 | |||
Gold | Nadir Metal Rafineri San. Ve Tic. A.Ş. | TURKEY | CID001220 | |||
Gold | Ohio Precious Metals, LLC | UNITED STATES | CID001322 | |||
Gold | Western Australian Mint trading as The Perth Mint | AUSTRALIA | CID002030 | |||
Gold | PT Aneka Tambang (Persero) Tbk | INDONESIA | CID001397 | |||
Gold | The Refinery of Shandong Gold Mining Co. Ltd | CHINA | CID001916 | |||
Gold | Shandong Zhaojin Gold & Silver Refinery Co. Ltd | CHINA | CID001622 | |||
Gold | Solar Applied Materials Technology Corp | TAIWAN | CID001761 | |||
Gold | Sumitomo Metal Mining Co., Ltd. | JAPAN | CID001798 | |||
Gold | Tokuriki Honten Co., Ltd | JAPAN | CID001938 | |||
Gold | United Precious Metal Refining, Inc. | UNITED STATES | CID001993 | |||
Gold | Aurubis AG | GERMANY | CID000113 | |||
Gold | C. Hafner GmbH + Co. KG | GERMANY | CID000176 | |||
Gold | CCR Refinery - Glencore Canada Corporation | CANADA | CID000185 | |||
Gold | Dowa | JAPAN | CID000401 | |||
Gold | Eco-System Recycling Co., Ltd. | JAPAN | CID000425 | |||
Gold | Heimerle + Meule GmbH | GERMANY | CID000694 | |||
Gold | Ishifuku Metal Industry Co., Ltd. | JAPAN | CID000807 | |||
Gold | Istanbul Gold Refinery | TURKEY | CID000814 | |||
Gold | Japan Mint | JAPAN | CID000823 | |||
Gold | Johnson Matthey Ltd | CANADA | CID000924 | |||
Gold | Materion | UNITED STATES | CID001113 | |||
Gold | Metalor Technologies (Singapore) Pte. Ltd. | SINGAPORE | CID001152 | |||
Gold | Metalor USA Refining Corporation | UNITED STATES | CID001157 | |||
Gold | Mitsui Mining and Smelting Co., Ltd. | JAPAN | CID001193 |
Gold | Nihon Material Co. LTD | JAPAN | CID001259 | |||
Gold | Ohura Precious Metal Industry Co., Ltd | JAPAN | CID001325 | |||
Gold | OJSC The Gulidov Krasnoyarsk Non-Ferrous Metals Plant (OJSC Krastvetmet) | RUSSIAN FEDERATION | CID001326 | |||
Gold | PAMP SA | SWITZERLAND | CID001352 | |||
Gold | PX Précinox SA | SWITZERLAND | CID001498 | |||
Gold | Rand Refinery (Pty) Ltd | SOUTH AFRICA | CID001512 | |||
Gold | Royal Canadian Mint | CANADA | CID001534 | |||
Gold | Schone Edelmetaal | NETHERLANDS | CID001573 | |||
Gold | Sichuan Tianze Precious Metals Co., Ltd | CHINA | CID001736 | |||
Gold | Umicore Brasil Ltda | BRAZIL | CID001977 | |||
Gold | Umicore Precious Metals Thailand | THAILAND | CID002314 | |||
Gold | Umicore SA Business Unit Precious Metals Refining | BELGIUM | CID001980 | |||
Gold | Valcambi SA | SWITZERLAND | CID002003 | |||
Gold | Aida Chemical Industries Co. Ltd. | JAPAN | CID000019 | |||
Gold | Yokohama Metal Co Ltd | JAPAN | CID002129 | |||
Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | RUSSIAN FEDERATION | CID001756 | |||
Gold | Torecom | KOREA, REPUBLIC OF | CID001955 | |||
Gold | YAMAMOTO PRECIOUS METAL CO., LTD. | JAPAN | CID002100 | |||
Gold | Doduco | GERMANY | CID000362 | |||
Tantalum | F&X Electro-Materials Ltd. | CHINA | CID000460 | |||
Tantalum | Hi-Temp Specialty Metals, Inc. | UNITED STATES | CID000731 | |||
Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA | CID000914 | |||
Tantalum | Jiujiang Tanbre Co., Ltd. | CHINA | CID000917 | |||
Tantalum | LSM Brasil S.A. | BRAZIL | CID001076 | |||
Tantalum | Molycorp Silmet A.S. | ESTONIA | CID001200 | |||
Tantalum | RFH Tantalum Smeltry Co., Ltd | CHINA | CID001522 | |||
Tantalum | Solikamsk Magnesium Works OAO | RUSSIAN FEDERATION | CID001769 | |||
Tantalum | Taki Chemicals | JAPAN | CID001869 | |||
Tantalum | Changsha South Tantalum Niobium Co., Ltd. | CHINA | CID000211 | |||
Tantalum | Conghua Tantalum and Niobium Smeltry | CHINA | CID000291 | |||
Tantalum | Duoluoshan | CHINA | CID000410 | |||
Tantalum | Exotech Inc. | UNITED STATES | CID000456 | |||
Tantalum | Global Advanced Metals Aizu | JAPAN | CID002558 | |||
Tantalum | Global Advanced Metals Boyertown | UNITED STATES | CID002557 | |||
Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | CHINA | CID000616 | |||
Tantalum | H.C. Starck Co., Ltd. | THAILAND | CID002544 | |||
Tantalum | H.C. Starck GmbH Goslar | GERMANY | CID002545 | |||
Tantalum | H.C. Starck GmbH Laufenburg | GERMANY | CID002546 | |||
Tantalum | H.C. Starck Hermsdorf GmbH | GERMANY | CID002547 | |||
Tantalum | H.C. Starck Inc. | UNITED STATES | CID002548 | |||
Tantalum | H.C. Starck Ltd. | JAPAN | CID002549 | |||
Tantalum | H.C. Starck Smelting GmbH & Co.KG | GERMANY | CID002550 | |||
Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CHINA | CID002492 | |||
Tantalum | KEMET Blue Metals | MEXICO | CID002539 | |||
Tantalum | KEMET Blue Powder | UNITED STATES | CID002568 | |||
Tantalum | Metallurgical Products India (Pvt.) Ltd. | INDIA | CID001163 | |||
Tantalum | Mineração Taboca S.A. | BRAZIL | CID001175 | |||
Tantalum | Mitsui Mining & Smelting | JAPAN | CID001192 | |||
Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CHINA | CID001277 | |||
Tantalum | Plansee SE Liezen | AUSTRIA | CID002540 | |||
Tantalum | Plansee SE Reutte | AUSTRIA | CID002556 | |||
Tantalum | QuantumClean | UNITED STATES | CID001508 | |||
Tantalum | Telex | UNITED STATES | CID001891 | |||
Tantalum | Ulba | KAZAKHSTAN | CID001969 |
Tantalum | Yichun Jin Yang Rare Metal Co., Ltd | CHINA | CID002307 | |||
Tantalum | Zhuzhou Cement Carbide | CHINA | CID002232 | |||
Tantalum | King-Tan Tantalum Industry Ltd | CHINA | CID000973 | |||
Tin | PT DS Jaya Abadi | INDONESIA | CID001434 | |||
Tin | PT Prima Timah Utama | INDONESIA | CID001458 | |||
Tin | Minsur | PERU | CID001182 | |||
Tin | Gejiu Non-Ferrous Metal Processing Co. Ltd. | CHINA | CID000538 | |||
Tin | Malaysia Smelting Corporation (MSC) | MALAYSIA | CID001105 | |||
Tin | Mineração Taboca S.A. | BRAZIL | CID001173 | |||
Tin | Operaciones Metalurgica S.A. | BOLIVIA | CID001337 | |||
Tin | PT Tambang Timah | INDONESIA | CID001477 | |||
Tin | PT Belitung Industri Sejahtera | INDONESIA | CID001421 | |||
Tin | PT Panca Mega Persada | INDONESIA | CID001457 | |||
Tin | PT Refined Bangka Tin | INDONESIA | CID001460 | |||
Tin | PT Stanindo Inti Perkasa | INDONESIA | CID001468 | |||
Tin | PT Timah (Persero), Tbk | INDONESIA | CID001482 | |||
Tin | Thaisarco | THAILAND | CID001898 | |||
Tin | White Solder Metalurgia e Mineração Ltda. | BRAZIL | CID002036 | |||
Tin | Yunnan Tin Company, Ltd. | CHINA | CID002180 | |||
Tin | Alpha | UNITED STATES | CID000292 | |||
Tin | CV United Smelting | INDONESIA | CID000315 | |||
Tin | Dowa | JAPAN | CID000402 | |||
Tin | EM Vinto | BOLIVIA | CID000438 | |||
Tin | Magnus Minerais Metais e Ligas LTDA | BRAZIL | CID002468 | |||
Tin | Melt Metais e Ligas S/A | BRAZIL | CID002500 | |||
Tin | Mitsubishi Materials Corporation | JAPAN | CID001191 | |||
Tin | OMSA | BOLIVIA | CID001337 | |||
Tin | PT ATD Makmur Mandiri Jaya | INDONESIA | CID002503 | |||
Tin | PT Babel Inti Perkasa | INDONESIA | CID001402 | |||
Tin | PT Bangka Tin Industry | INDONESIA | CID001419 | |||
Tin | PT Bukit Timah | INDONESIA | CID001428 | |||
Tin | PT Eunindo Usaha Mandiri | INDONESIA | CID001438 | |||
Tin | PT Sariwiguna Binasentosa | INDONESIA | CID001463 | |||
Tin | PT Mitra Stania Prima | INDONESIA | CID001453 | |||
Tin | PT Tinindo Inter Nusa | INDONESIA | CID001490 | |||
Tin | PT Justindo | INDONESIA | CID000307 | |||
Tin | China Tin Group Co., Ltd. | CHINA | CID001070 | |||
Tin | PT BilliTin Makmur Lestari | INDONESIA | CID001424 | |||
Tin | Fenix Metals | POLAND | CID000468 | |||
Tin | CV Gita Pesona | INDONESIA | CID000306 | |||
Tin | O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND | CID001314 | |||
Tin | O.M. Manufacturing Philippines, Inc. | PHILIPPINES | CID002517 | |||
Tin | PT Artha Cipta Langgeng | INDONESIA | CID001399 | |||
Tin | PT Inti Stania Prima | INDONESIA | CID002530 | |||
Tin | PT Sumber Jaya Indah | INDONESIA | CID001471 | |||
Tin | Rui Da Hung | TAIWAN | CID001539 | |||
Tin | Soft Metais, Ltda. | BRAZIL | CID001758 | |||
Tin | VQB Mineral and Trading Group JSC | VIETNAM | CID002015 | |||
Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | CHINA | CID000875 | |||
Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CHINA | CID002494 | |||
Tungsten | Global Tungsten & Powders Corp. | UNITED STATES | CID000568 | |||
Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | CHINA | CID000769 | |||
Tungsten | Japan New Metals Co., Ltd. | JAPAN | CID000825 | |||
Tungsten | Xiamen Tungsten Co., Ltd. | CHINA | CID002082 |
Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA | CID002315 | |||
Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CHINA | CID002321 | |||
Tungsten | Malipo Haiyu Tungsten Co., Ltd. | CHINA | CID002319 | |||
Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd | VIETNAM | CID002011 | |||
Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CHINA | CID002320 | |||
Tungsten | A.L.M.T. TUNGSTEN Corp. | JAPAN | CID000004 | |||
Tungsten | Chongyi Zhangyuan Tungsten Co Ltd | CHINA | CID000258 | |||
Tungsten | H.C. Starck GmbH | GERMANY | CID002541 | |||
Tungsten | H.C. Starck Smelting GmbH & Co.KG | GERMANY | CID002542 | |||
Tungsten | Hunan Chenzhou Mining Group Co., Ltd. | CHINA | CID000766 | |||
Tungsten | Kennametal Huntsville | UNITED STATES | CID000105 | |||
Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | VIETNAM | CID002543 | |||
Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | CHINA | CID002513 | |||
Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA | CID000258 | |||
Tungsten | Fujian Jinxin Tungsten Co., Ltd. | CHINA | CID000499 | |||
Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CHINA | CID000218 | |||
Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CHINA | CID002095 |