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Form SD Specialized Disclosure Report (SEC0697) SD - Official Federal Forms

Form SD Specialized Disclosure Report (SEC0697) Form. This is a national form and can be used in Securities And Exchange Commission .
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OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB Number: 3235-0697 Expires: May 31, 2016 Estimated average burden hours per response....480.61 FORM SD Specialized Disclosure Report _________________________________________________________________________________________________________ (Exactnameofregistrantasspecifiedinitscharter) ______________________________________________________________________________________________________________ (Stateorotherjurisdiction (Commission (IRSEmployer ofincorporationororganization) FileNumber) IdentificationNo.) ______________________________________________________________________________________________________________ (Addressofprincipalexecutiveoffices)(ZipCode) ______________________________________________________________________________________________________________ (Nameandtelephonenumber,includingareacode,ofthepersontocontactinconnectionwith thisreport.) Checktheappropriateboxtoindicatetherulepursuanttowhichthisformisbeingfiled, andprovidetheperiodtowhichtheinformationinthisformapplies: ____Rule13p-1undertheSecuritiesExchangeAct(17CFR240.13p-1)forthereportingperiodfromJanuary1toDecember31,______. GENERAL INSTRUCTIONS A. Rule as to Use of Form SD. ThisformshallbeusedforareportpursuanttoRule13p-1(17CFR240.13p-1)undertheExchangeAct. B. Information to be Reported and Time for Filing of Reports. 1. FormfiledunderRule13p-1.AreportonthisFormshallbefiledonEDGARnolaterthanMay31aftertheendoftheissuer'smostrecentcalendaryear. 2. IfthedeadlineforfilingthisformoccursonaSaturday,SundayorholidayonwhichtheCommissionisnotopenforbusiness,thenthedeadlineshallbethenextbusinessday. C. Inapplicability to Registered Investment Companies. ThedisclosuresrequiredinFormSDshallnotapplytoinvestmentcompaniesrequiredtofilereportspursuanttoRule30d-1(17 CFR270.30d-1)undertheInvestmentCompanyActof1940. SEC0697(1-14) Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. 1 of 5 American LegalNet, Inc. www.FormsWorkFlow.com D. Preparation of Report. Thisformisnottobeusedasablankformtobefilledin,butonlyasaguideinthepreparationofthereportmeetingtherequirementsofRule12b-12(17CFR240.12b-12).Thereportshallcontainthenumberandcaptionoftheapplicableitem,butthetextof suchitemmaybeomitted,providedtheanswerstheretoarepreparedinthemannerspecifiedinRule12b-13(17CFR240.12b-13).All itemsthatarenotrequiredtobeansweredinaparticularreportmaybeomittedandnoreferencetheretoneedbemadeinthereport. Allinstructionsshouldalsobeomitted. E. Application of General Rules and Regulations. TheGeneralRulesandRegulationsundertheAct(17CFRPart240)containcertaingeneralrequirementswhichareapplicableto reportsonanyform.Thesegeneralrequirementsshouldbecarefullyreadandobservedinthepreparationandfilingofreportsonthis form. F. Signature and Filing of Report Thereportmustbesignedbytheregistrantonbehalfoftheregistrantbyanexecutiveofficer. INFORMATION TO BE INCLUDED IN THE REPORT Section 1 - Conflict Minerals Disclosure Item 1.01 Conflict Minerals Disclosure and Report (a) Ifanyconflictminerals,asdefinedbyparagraph(d)(3)ofthisitem,arenecessarytothefunctionalityorproductionofa productmanufacturedbytheregistrantorcontractedbytheregistranttobemanufacturedandarerequiredtobereportedinthecalendaryearcoveredbythespecializeddisclosurereport,theregistrantmustconductingoodfaithareasonablecountryoforigininquiry regardingthoseconflictmineralsthatisreasonablydesignedtodeterminewhetheranyoftheconflictmineralsoriginatedinthe DemocraticRepublicoftheCongooranadjoiningcountry,asdefinedbyparagraph(d)(1)ofthisitem,orarefromrecycledorscrap sources,asdefinedbyparagraph(d)(6)ofthisitem. (b) Basedonitsreasonablecountryoforigininquiry,iftheregistrantdeterminesthatitsnecessaryconflictmineralsdidnot originateintheDemocraticRepublicoftheCongooranadjoiningcountryordidcomefromrecycledorscrapsources,orifithasno reasontobelievethatitsnecessaryconflictmineralsmayhaveoriginatedintheDemocraticRepublicoftheCongooranadjoining country,orifbasedonitsreasonablecountryoforigininquirytheregistrantreasonablybelievesthatitsnecessaryconflictminerals didcomefromrecycledorscrapsources,theregistrantmust,inthebodyofitsspecializeddisclosurereportunderaseparateheadingentitled"ConflictMineralsDisclosure,"discloseitsdeterminationandbrieflydescribethereasonablecountryoforigininquiryit undertookinmakingitsdeterminationandtheresultsoftheinquiryitperformed.Also,theregistrantmustdisclosethisinformation onitspubliclyavailableInternetwebsiteand,underaseparateheadinginitsspecializeddisclosurereportentitled"ConflictMinerals Disclosure,"providealinktothatwebsite. (c) Alternatively,basedonitsreasonablecountryoforigininquiry,iftheregistrantknowsthatanyofitsnecessaryconflict mineralsoriginatedintheDemocraticRepublicoftheCongooranadjoiningcountryandarenotfromrecycledorscrapsources,or hasreasontobelievethatitsnecessaryconflictmineralsmayhaveoriginatedintheDemocraticRepublicoftheCongooranadjoiningcountryandhasreasontobelievethattheymaynotbefromrecycledorscrapsources,theregistrantmustexerciseduediligence onthesourceandchainofcustodyofitsconflictmineral,asdiscussedinparagraph(c)(1)ofthisitem,thatconformstoanationallyor internationallyrecognizedduediligenceframework,ifsuchaframeworkisavailablefortheconflictmineral.If,asaresultofthatdue diligence,theregistrantdeterminesthatitsconflictmineralsdidnotoriginateintheDemocraticRepublicoftheCongooranadjoiningcountryortheregistrantdeterminesthatitsconflictmineralsdidcomefromrecycledorscrapsources,aConflictMineralsReport isnotrequired,buttheregistrantmustdiscloseitsdeterminationandbrieflydescribe,inthebodyofitsspecializeddisclosurereport underaseparateheadingentitled"ConflictMineralsDisclosure,"thereasonablecountryoforigininquiryandtheduediligenceefforts itundertookinmakingitsdeterminationandtheresultsoftheinquiryandduediligenceeffortsitperformed.Also,theregistrantmust disclosethisinformationonitspubliclyavailableInternetwebsiteand,underaseparateheadinginitsspecializeddisclosurereport entitled"ConflictMineralsDisclosure,"providealinktothatwebsite.Otherwise,theregistrantmustfileaConflictMineralsReportas anexhibittoitsspecializeddisclosurereportandprovidethatreportonitspubliclyavailableInternetwebsite.Underaseparateheadinginitsspecializeddisclosurereportentitled"ConflictMineralsDisclosure,"theregistrantmustdisclosethatithasfiledaConflict MineralsReportandprovidethelinktoits
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