Get the free Novartis SEC Form SD and Conflict Minerals Report 2015

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT NOVARTIS AG (Exact name of the registrant as specified in its charter) Switzerland (State

How to fill out novartis sec form sd

How to fill out Novartis SEC form SD:

1. Understand the purpose: The Novartis SEC Form SD is a filing required by the Securities and Exchange Commission (SEC) for companies to disclose their efforts to identify and prevent the use of conflict minerals in their supply chains.
2. Gather necessary information: Before filling out the form, collect all relevant information such as identification details of the company, specific measures taken to identify conflict minerals, policies and procedures implemented, and any relevant supporting documents.
3. Complete Part I: In this section, provide the required information about the company, including its name, address, and contact details. Also, mention the date of the report and fiscal year end.
4. Describe the Reasonable Country of Origin Inquiry (RCOI): In Part II, explain the steps taken by the company to determine the country of origin of conflict minerals within its supply chain. This may include conducting surveys, reviewing supplier documentation, or engaging with third-party auditors.
5. Detail the due diligence efforts: Part III requires a comprehensive description of the due diligence measures undertaken by the company. Provide details on the framework used, steps for risk assessment, and the process of engaging with suppliers to ensure responsible sourcing.
6. Explain the findings: In Part IV, disclose the findings of the due diligence efforts. If any conflict minerals are determined to be present in the supply chain, record the measures taken to address the situation, such as replacing suppliers or supporting local initiatives.
7. Obtain an independent private-sector audit: If the company is required to obtain an independent private-sector audit, outline the details of the audit in Part V.
8. Sign and certify: Part VI requires the authorized signatory of the company to certify the accuracy and completion of the form. Ensure that all required certifications are provided, and the form is signed by a duly authorized person.

Who needs Novartis SEC Form SD:

1. Publicly traded companies: Public companies that manufacture or contract to manufacture products and use conflict minerals, as defined by the SEC, are required to file Form SD. This includes companies listed on U.S. stock exchanges.
2. Affected industries: Industries such as electronics, automotive, aerospace, and jewelry, which commonly use conflict minerals like tin, tantalum, tungsten, and gold, are particularly impacted. Companies in these sectors need to file Form SD.
3. Companies affected by the Dodd-Frank Act: The requirement to file Form SD stems from the Dodd-Frank Wall Street Reform and Consumer Protection Act, which targets companies that source conflict minerals from regions associated with human rights abuses, such as the Democratic Republic of the Congo and surrounding nations.
4. Smaller reporting companies: Even smaller reporting companies that meet the SEC's criteria for filing Form SD, such as having more than $20 million in total assets, are obligated to file.

It is important to note that this is a general guide and that companies should carefully review the instructions provided by the SEC and consult with legal professionals to ensure compliance with all applicable regulations.

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What is novartis sec form sd?

Novartis sec form sd is a form required by the Securities and Exchange Commission (SEC) for companies to report on conflict minerals sourcing.

Who is required to file novartis sec form sd?

Companies that use conflict minerals in their products and are listed on a US stock exchange are required to file novartis sec form sd.

How to fill out novartis sec form sd?

Novartis sec form sd is filled out by providing information on the source and chain of custody of conflict minerals used in products.

What is the purpose of novartis sec form sd?

The purpose of novartis sec form sd is to promote responsible sourcing of conflict minerals and to help prevent human rights abuses.

What information must be reported on novartis sec form sd?

Companies must report on the source and chain of custody of conflict minerals used in their products.