UMC United Microelectronics Corp

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM SD

Specialized Disclosure Report

United Microelectronics Corporation (“UMC”)

(Exact name of registrant as specified in its charter)

State or other jurisdiction of incorporation or organization: Taiwan, R.O.C.

Address of principal executive offices & Zip Code: No.3, Li-Hsin Road. II, Hsinchu Science Park, Hsinchu City, Taiwan 30077, R.O.C.

Commission File Number: 001-15128

Name and telephone number, including area code, of the person to contact in connection with this report: Aaron Chiu, telephone number: +886-3-5782258 Ext.37271 or 8637271

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:

Section 1- Conflict Minerals Disclosures

Item 1.01 Conflict Minerals Disclosure and Report

The Specialized Disclosure Report and Conflict Minerals Report for United Microelectronics Corporation (“UMC”) filed as Exhibit 1.01.

Available internet website link for this Conflict Minerals Disclosures:

This Form SD is posted on UMC’s public website at:

English version: http://www.umc.com/English/CSR/c_3.asp

Chinese version: http://www.umc.com/chinese/CSR/c_3.asp

Item 1.02 Exhibit

The Conflict Minerals Report required by Item 1.01 is filed as Exhibit 1.01 of this Form SD.

Section 2- Exhibits

Item 2.01 Exhibits

Exhibit 1.01 – The 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, UMC has duly caused this Form SD to be signed on its behalf by the duly authorized undersigned.

United Microelectronics Corporation

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Exhibit 1.01

Exhibit 1.01 Conflict Minerals Disclosure and Report

In accordance with the execution of this SD Form, UMC has concluded in good faith that during 2023

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About UMC

UMC’s Business

UMC (NYSE: UMC, TWSE: 2303) is a leading global semiconductor foundry. The company provides high quality IC production with a focus on both logic and specialty technologies to serve every major sector of the electronics industry. UMC’s comprehensive technology and manufacturing solutions include logic/RF, display driver IC, embedded flash, RFSOI/BCD on 8” & 12” wafers and IATF-16949 automotive manufacturing certification for all wafer fabs. UMC operates 12 fabs that are located throughout Asia with a maximum capacity of more than 750,000 8-inch equivalent wafers per month. The company employs approximately 19,000 people worldwide, with offices in Taiwan, China, United States, Europe, Japan, Korea and Singapore. For more information, please visit: http://www.umc.com.

UMC’s Products Covered by this Report

UMC is a manufacturer and seller of patterned semiconductor wafers (“product” or “products”) and/or die cut from such wafers. Various materials, inclusive of but not limited to tantalum, tin, gold and tungsten (“Conflict Minerals”) are necessary to the functionality or production of such semiconductor wafers manufactured by UMC or contracted by UMC to be manufactured.

This report relates to products: (i) for which Conflict Minerals are necessary to the functionality or production of that product; (ii) that were manufactured, or contracted to be manufactured by UMC.

On the basis of a reasonable country of origin inquiry and investigation measures described herein, UMC source Conflict Minerals material from conflict-free smelter or refiners.

We have approximately 3,000 suppliers. As a “downstream” company with many tiers in our supply chain, we generally do not have a direct relationship with Conflict Minerals smelters and refiners. It is difficult for us to identify actors upstream from our direct material suppliers, and we rely on our direct material suppliers to provide information on the smelters and refiners as well as the origin of Conflict Minerals contained in parts, products or services supplied to us, including sources of Conflict Minerals that are supplied to them from their upstream suppliers. These direct material suppliers similarly rely on information provided by their suppliers.

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We are a member of the Responsible Minerals Initiative (RMI). The RMI is a broad-based initiative to develop control systems regarding smelters and refiners through independently validated audits under the RMI’s Conflict-Free Smelter Program.

Reasonable Country of Origin Inquiry

UMC conducted efforts in good faith to determine whether the Conflict Minerals found in our products may have originated in the Covered Countries or are from recycled or scrap sources.

The head technician of our Manufacture Technical Developer (MTD) dept. supported the effort to filter out material suppliers and outsourcing suppliers that were most likely to provide material, products or services containing Conflict Minerals, and we sent 631 surveys to relevant suppliers and subsidiaries (total 33 suppliers & subsidiaries) in 2023.

All related suppliers & subsidiaries were notified through a defined process via both email and personalized contact, which included offers of assistance and further information to the supplier & subsidiaries about the requirements of the U.S. SEC Rule (the “Rule”) and the compliance program.

The Conflict Minerals compliance program includes automated data validation on all submitted Questionnaires. The goal of data validation is to increase the accuracy of submissions and identify any contradictory answers in the Questionnaire. All submitted forms are accepted and classified as valid or invalid such that all data is retained.

Based on the suppliers and subsidiaries responses received regarding the Company’s Conflict Minerals, which included thousands of alleged smelter or refiner names, we compiled a list of unique smelters or refiners, including information regarding associated countries of origin. UMC performed the check on the smelters or refiners on the unique list that were known, reasonably believed, or that had unknown sources from the “Covered Countries” or that had unknown sourcing in general.

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UMC Conflict Minerals Management

UMC Conflict Minerals Management Workflow

UMC Conflict Minerals Management Steps

Step 1: Establish Strong Company Management Procedure

UMC has established a management procedure to determine the source and chain of custody of Conflict Minerals in our supply chain.

a. Mission Statement. We have adopted a Conflict Minerals mission statement that outlines to suppliers and customers our commitment to responsible sourcing of Conflict Minerals throughout our global supply chain and to comply with the Rule. The Mission Statement is publicly available on our website at: http://www.umc.com/chinese/CSR/c_3.asp

b. Internal Team. Our management procedure includes oversight of our Conflict Minerals and investigation processes by a team made up of representatives from UMC such as:

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c. Control Systems. We utilize the Questionnaire sent to our suppliers & subsidiaries to gather information on the chain of custody of the Conflict Minerals included in our products & material. In addition, we are a member of the Conflict-Free Sourcing Initiative, an industry-wide initiative working to develop conflict-free supply chains.

d. Supplier Engagement. We have communicated to the suppliers & subsidiaries obligations under the Rule by distributing to them background information on the Rule along with the Questionnaire. In addition, through our Vendor, we provide training materials on Conflict Minerals compliance to suppliers & subsidiaries. We are integrating a Conflict Minerals compliance provision into our purchasing SOP with material suppliers that sets forth UMC’s expectations that such material suppliers will cooperate with UMC’s Conflict Minerals and due diligence measures as required by the Rule.

e. Grievance Mechanism. We have a company level Helpline that provides employees and suppliers with a mechanism to report violations of our policies or other concerns.

Step 2: Identify and Assess Risk in the Supply Chain

a. Distribution of Questionnaires to suppliers & subsidiaries.

In 2023, we distributed the Questionnaire to suppliers & subsidiaries in order to gather information on our supply chain, including (i) whether any of the minerals which could potentially be classified as Conflict Minerals are contained in materials they supplied to UMC (Conflict Minerals declaration), (ii) whether those minerals are necessary to the functionality or production in which they are used (Process information), and (iii) the smelter and refiners and whether those minerals originated from the Covered Countries (the newest RBA CMRT report).

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b. Assessment of suppliers & subsidiaries responses.

We reviewed each response from suppliers & subsidiaries to assess the adequacy of such response. If supplier responses indicate that Conflict Minerals contained in products provided to UMC may have originated from the Covered Countries, then such responses are sent to the Conflict Minerals team for further review and determination of follow-up steps.

Step 3: Design and Implement a Strategy to Respond to Identified Risks

We have a risk management plan to address concerns that a supplier may be providing to UMC products that contain Conflict Minerals sourced from the Covered Countries. If a supplier indicates that its products may contain Conflict Minerals sourced from the Covered Countries, we will follow up with the supplier to gather more information, including the basis for the information provided and other information regarding the sourcing country and smelter. Identified risks will be reported to the Conflict Minerals Team, which will determine appropriate follow-up actions, if any, to mitigate risks. There have been no known instances of high risk issues in the supply chain that require follow-up actions to be considered.

To ensure that supplier & subsidiaries understand our expectations with respect to compliance with the Rule, we distribute background information on the Rule, along with our Mission Statement on Conflict Minerals compliance to the suppliers & subsidiaries in addition to the Questionnaire on our website at: http://www.umc.com/chinese/CSR/c_3.asp.

Step 4: Tracing lot traceability & Audit for Suppliers’ Supply Chain investigated to identify Points in the Supply Chain

UMC relies on the RMI’s Conflict-Free Smelter Program to perform lot traceability audits of smelters and refiners. We validate whether any Conflict Minerals sourced from the Covered Countries is conflict-free based on the information provided by our Supplier Group and on the information available from RMI.

Following up with an onsite audit to make sure our suppliers complied with RMI’s Conflict-Free rules, we used a lot traceability mechanism to investigate 8 suppliers’ materials to verify that they were Conflict-Free in 2023 The onsite audit results met our Conflict-Free policy.

Below is our supply chain Conflict minerals assessment and on site audit performance:

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Step 5: Labelled product with Conflict Minerals FREE

UMC has labelled our products as conflict-free with a visible sticker to stress Conflict Minerals FREE

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Step 6: Report on Supply Chain Status

This Conflict Minerals Report shall be filed with the SEC and is publicly available at http://www.umc.com/english/CSR/C_3.asp

UMC Policy of Conflict Minerals

Ensure all the suppliers source materials from conflict-free smelters or refiners.

UMC is a party to the global consensus for supporting supply chain and source management and uses certified sources of minerals from non-conflict areas. UMC also requires suppliers to ensure that their supplied materials to UMC and the supply chain are free from Conflict Minerals. When selecting new suppliers or assessing existing suppliers, UMC requires all of our suppliers to source the Covered Minerals from smelters or refiners who have been certified by independent third parties under the RMI’s Responsible Minerals Assurance Process (RMAP).

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At UMC, we enforce Conflict Minerals management according to the Disclosures Relating to Conflict Minerals prescribed in Rule 13p-1 of the U.S. Securities and Exchange Act of 1934 of the US Securities and Exchange Commission (SEC). During new supplier selection, UMC requires new suppliers to introduce assessment systems and to present sourcing of minerals from conflict regions. Existing suppliers are also required to actively investigate and verify specified materials (gold, tantalum, tin, and tungsten), sign agreements prohibiting the use of Conflict Minerals, or provide a declaration thereof. UMC also exercises Conflict Minerals Investigation when implementing our investigations, and annual supplier audits were carried out to check whether upstream smelters / refiners of the suppliers utilize Conflict Minerals. Lot traceability for the supply chain is in place to ensure that no Conflict Minerals have been used. UMC is also an active participant of global advocacy groups such as the Responsible Minerals Initiative (RMI) of RBA. Information on suppliers that meet conflict mineral requirements was acquired from the Responsible Minerals Assurance Process (RMAP) as a basis for supply chain and source management. Suppliers were also required to refer to the latest Conflict Minerals Reporting Template of RBA to provide information related to Conflict Minerals. Dedicated UMC personnel were assigned to verify a supplier’s compliance to RBA standards for ensuring the total exclusion of Conflict Minerals usage.

In addition to implementing Conflict Minerals management according to corporate policy and commitment, UMC also submits Specialized Disclosure (SD) forms to the U.S. SEC while publishing the completed forms on its official website to declare the outcomes of Conflict Minerals management efforts and demonstrate our commitment to corporate social responsibilities.

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EXHIBIT

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