Specialized Disclosure Report (sd)
May 31 2017 - 6:47AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM SD
Specialized
Disclosure Report
(Exact Name of Registrant as Specified
in Its Charter)
TAIWAN, REPUBLIC OF CHINA
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001-31335
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Not Applicable
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(State or other jurisdiction of
incorporation or organization)
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(Commission File Number)
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(IRS Employer Identification No.)
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1 LI-HSIN ROAD 2
HSINCHU SCIENCE PARK
HSINCHU, TAIWAN
REPUBLIC OF CHINA
(Address of principal executive offices)
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Benjamin Tseng
Chief Financial Officer
1 Li-Hsin Road 2
Hsinchu Science Park
Hsinchu, Taiwan
Republic of China
Telephone No.: +886-3-500-8800
Facsimile No.: +886-3-564-3370
Email:
IR@auo.com
(Name and telephone, 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:
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☒
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Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) under the Exchange Act for the reporting period from January
1 to December 31, 2016.
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Section 1 – Conflict Minerals Disclosure
ITEM 1.01 Conflict Minerals Disclosure and Report
The following should be read in conjunction with the definitions
contained in the Securities and Exchange Commission (“SEC”) instructions to Form SD and related rules.
With respect to conflict minerals necessary to the functionality
or production of products manufactured by AU Optronics Corp. (“we,” “us” or “our”), or contracted
by us to be manufactured, and required to be reported on Form SD for 2016 (collectively, “CMs”), we conducted in good
faith a country of origin inquiry that we believe was reasonably designed to determine whether any of the CMs originated in the
Democratic Republic of the Congo or an adjoining country (“Covered Countries”) or were from recycled or scrap sources.
For a description of our country of origin inquiry, please see the discussion in Exhibit 1.02 of the measures we took to exercise
due diligence (of which such inquiry was a part), which discussion is incorporated herein by reference.
To the extent we know or have reason to believe that the CMs
originated, or may have originated, in the Covered Countries and may not have been from recycled or scrap sources, we exercised
due diligence on the source and chain of custody of the CMs as required by the SEC rules. In exercising due diligence, we were
not able to determine whether the CMs that originated, or may have originated, in the Covered Countries directly or indirectly
financed or benefitted armed groups. Based on our good faith country of original inquiry and due diligence on the source and chain
of custody of the CMs, we made the determination that the CMs are underterminable origin. For further information, please refer
to Exhibit 1.02.
The disclosures contained in this Form SD are available on our
website, http://auo.com/?sn=161&lang=en-US. The website and the information accessible through it are not incorporated into
this specialized disclosure report.
ITEM 1.02 Exhibit
The registrant’s Conflict Minerals Report required by
Item 1.01 is attached hereto as Exhibit 1.02.
ITEM 2.01 Exhibits
Exhibit 1.02 - Conflict Minerals Report as required by Items
1.01 and 1.02 of this Form.
SIGNATURES
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 duly authorized undersigned.
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AU OPTRONICS CORP.
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By:
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/s/ Shuang-Lang (Paul) Peng
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Name:
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Shuang-Lang (Paul) Peng
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Title:
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Chairman and Chief Executive Officer
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Date: May 31, 2017
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