MAXLINEAR, INC — Regulatory Filings 2017

May 30, 2017

SD 1 a2016formsd.htm SD html PUBLIC "-//W3C//DTD HTML 4.01 Transitional//EN" "http://www.w3.org/TR/html4/loose.dtd" Document created using Wdesk 1 Copyright 2017 Workiva Document

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

FORM SD
SPECIALIZED DISCLOSURE REPORT

MaxLinear, Inc.

(Exact name of registrant as specified in its charter )

Delaware	001-34666	14-1896129
(State or other jurisdiction of incorporation)	(Commission File Number)	(IRS Employer Identification No.)

5966 La Place Court, Suite 100, Carlsbad, California 92008

(Address of principal executive offices) (Zip Code)

Adam C. Spice

Vice President and Chief Financial Officer

(760) 692-0711

(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, 2016.

Section 1 - Conflict Minerals Disclosure

Item 1.01 Conflict Minerals Disclosure and Report

Conflict Minerals Disclosure

For the reporting period from January 1, 2016 to December 31, 2016, MaxLinear, Inc. determined that certain “conflict minerals,” as defined in Section 1, Item 1.01(d)(3) of Form SD, are necessary to the functionality or production of the semiconductors that we contract to manufacture through foundries in Asia. Accordingly, we conducted a reasonable country of origin inquiry to determine whether during 2016 our products contained conflict minerals that originated in the Democratic Republic of the Congo or certain adjoining countries, which we refer to collectively as the “covered countries.” We then conducted due diligence designed to conform to the Organisation for Economic Co-operation and Development Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas in order to determine whether any of the conflict minerals used in our products during 2016 originated from any of the covered countries and whether these conflict minerals benefited, directly or indirectly, armed groups in any of the covered countries.

On May 12, 2017, we completed our acquisition of Exar Corporation, a Delaware corporation (“Exar”) and former publicly-traded company listed on The New York Stock Exchange. Exar was previously obligated to provide a specialized disclosure report with respect to its conflict minerals. Accordingly, our Conflict Minerals Report, which is attached as Exhibit 1.01 hereto, covers products that Exar manufactured or contracted to manufacture during 2016 prior to our acquisition of Exar that contain conflict minerals necessary to the functionality or production of such products.

In accordance with Rule 13p-1 promulgated under the Securities Exchange Act of 1934, as amended, and this Specialized Disclosure Report on Form SD, we have filed a Conflict Minerals Report, which is attached as Exhibit 1.01 hereto. A copy of this Form SD and the Conflict Minerals Report are publicly available at http://investors.maxlinear.com/phoenix.zhtml?c=233477&p=irol-sec.

Item 1.02 Exhibit

In accordance with Rule 13p-1, and this Form SD, we have filed our Conflict Minerals Report, which is attached as Exhibit 1.01 to this Form SD.

Section 2 - Exhibits

Item 2.01 Exhibits

The following exhibit is filed as part of this Form SD.

Exhibit No.	Description
1.01	MaxLinear, Inc. Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form SD.

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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.

Date:
(Registrant)
By:	/s/ Adam C. Spice
	Adam C. Spice
	Vice President and Chief Financial Officer

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EXHIBIT INDEX

Exhibit No.	Description
1.01	MaxLinear, Inc. Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form SD.