Conflict Minerals Policy


The purpose of this policy is to document the conflict minerals policy of NeoPhotonics Corporation in accordance with United States SEC Regulations.

This policy is to provide NeoPhotonics’ employees, customers and suppliers guidance on the company’s position regarding conflict minerals. If there are additional questions, please consult Corporate Legal.

Conflict Mineral Policy

NeoPhotonics Corporation and its affiliates (“NeoPhotonics”)


1. Responsibility
All Company employees are responsible for informing management of any deviations from this policy. Any exceptions to this policy must be approved in writing by Corporate Legal.

2. Definitions
“Corporate Legal” – CFO and the legal department of NeoPhotonics Corporation.

3. General Policy
NeoPhotonics is committed to working with our global supply chain to ensure compliance with the United States’ conflict minerals rules as defined by the SEC. We have established a conflict minerals compliance program that is designed to follow the framework established by the Organization for Economic Cooperation and Development (OECD).

Our enterprise is fully engaged in implementing this program. Our supplier agreements include conflict mineral due diligence and reporting requirements. NeoPhotonics will make best efforts to ensure that any direct sourcing by NeoPhotonics of tin, tungsten, tantalum and gold will only be from Democratic Republic of Congo Conflict-Free sources, as defined in the SEC’s conflict minerals rule. As we become aware of instances where minerals in our supply chain potentially finance armed groups, as defined in the SEC’s conflict minerals rule, we will work with our suppliers to find alternate conflict-free sources.

        i. Management Commitment:
              NeoPhotonics’ senior management is committed to creating a corporate culture of compliance with all US
              Government laws and regulations regarding conflict minerals.

       ii. Supplier Training:
              NeoPhotonics will continue to communicate the company policy and requirements of the Conflict Minerals
              regulations to suppliers, and will work with them to ensure compliance.

4. Penalties:
NeoPhotonics requires that all suppliers be in compliance with the Conflict Minerals regulations and will continue to with suppliers to ensure their compliance. Failure to comply with the Conflict Minerals regulations may lead to supplier disqualification.