Endo--Form SD

 

 

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      
EX-1.01

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 Men’s 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 AMS’s suppliers about the origin of the conflict minerals contained in the parts and materials that they supplied to AMS.

The RCOI survey included AMS’s 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 Endo’s 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.

 

    Endo’s 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 AMS’s 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 refiner’s 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 AMS’s 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   Magnu’s 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