United States
Securities and Exchange Commission
Washington, D.C. 20549
FORM SD
Specialized Disclosure Report
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UQM Technologies, Inc. |
(Exact name of Registrant as specified in its charter) |
State of Colorado | 1-10869 | 84-0579156 |
(State or other jurisdiction of incorporation or organization) | (Commission File Number) | (IRS Employer Identification No.) |
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4120 SPecialty Place longmont, COlorado |
80504 |
(Address of principal executive offices) | (Zip Code) |
David rosenthal |
303-682-4900 |
(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:
XRule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2018.
Section 1 – Conflict Minerals Disclosure
Item 1.01 Conflict Minerals Disclosure and Report
As required by Rule 13p-1 under the Securities Exchange Act of 1934, as amended, and the requirements of Form SD (collectively, the “Conflict Minerals Rule”), a Conflict Minerals Report is provided as Exhibit 1.01 to this Form SD and is available on our corporate website at www.uqm.com . The information contained on our website is not incorporated by reference into this Form SD or the Conflict Minerals Report and should not be considered to be part of this Form SD or the Conflict Minerals Report.
For 2018, we conducted a “reasonable country of origin inquiry” as required by the Conflict Minerals Rule on the products we manufacture or contract to manufacture that contain tantalum, tin, tungsten or gold (“3TG”) necessary to the functionality or production of such products. For our reasonable country of origin inquiry, to the extent applicable, we utilized the same processes and procedures as for our due diligence. Our due diligence framework and processes are discussed in the Conflict Minerals Report that is an exhibit to this Form SD.
However, we do not have a direct relationship with the smelters and refiners in our supply chain and for 2018, none of our suppliers identified smelters and refiners that processed the necessary 3TG contained in our products.
Item 1.02 Exhibit
The Conflict Minerals Report required by Item 1.01 is filed as Exhibit 1.01 to this Form SD.
Section 2 – Exhibits
Item 2.01 Exhibits
1.01 |
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Exhibit No. | Description of Exhibit |
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.
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UQM Technologies, Inc. |
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(Registrant)
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By: /s/ David I. Rosenthal | May 22, 2019 |
Name: David I. Rosenthal Title: Treasurer and CFO |
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