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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CONTRAN CORP 5430 LBJ FREEWAY, SUITE 1700 DALLAS, TX 75240 |
X | |||
VALHI HOLDING CO 5430 LBJ FREEWAY, SUITE 1700 DALLAS, TX 75240 |
X | |||
DIXIE RICE AGRICULTURE CORP INC 5430 LBJ FREEWAY, SUITE 1700 DALLAS, TX 75240 |
X | |||
Simmons Annette C 5430 LBJ FREEWAY, SUITE 1700 DALLAS, TX 75240 |
X | |||
SIMMONS HAROLD C 5430 LBJ FREEWAY, SUITE 1700 DALLAS, TX 75240 |
X | X | Chairman of the Board |
A. Andrew R. Louis, Secretary, for Contran Corporation | 12/08/2009 | |
**Signature of Reporting Person | Date | |
A. Andrew R. Louis, Secretary, for Valhi Holding Company | 12/08/2009 | |
**Signature of Reporting Person | Date | |
A. Andrew R. Louis, Secretary, for Dixie Rice Agricultural Corporation, Inc. | 12/08/2009 | |
**Signature of Reporting Person | Date | |
A. Andrew R. Louis, Attorney-in-fact, for Annette C. Simmons | 12/08/2009 | |
**Signature of Reporting Person | Date | |
A. Andrew R. Louis, Attorney-in-fact, for Harold C. Simmons | 12/08/2009 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Purchase by Contran Corporation from its subsidiary, Valhi Holding Company. See the Additional Information filed as Exhibit 99 to this statement for a description of the relationships among the persons joining in this filing. |
(2) | Directly owned by Valhi Holding Company. See the Additional Information filed as Exhibit 99 to this statement for a description of the relationship among the persons joining in this filing. |
(3) | Directly owned by NL Industries, Inc. See the Additional Information filed as Exhibit 99 to this statement for a description of the relationships to the persons joining in this filing. |
(4) | Directly owned by Valhi, Inc. See the Additional Information filed as Exhibit 99 to this statement for a description of the relationships to the persons joining in this filing. |
(5) | Directly owned by NL Environmental Management Services, Inc. See the Additional Information filed as Exhibit 99 to this statement for a description of the relationships to the persons joining in this filing. |
Remarks: Harold C. Simmons and his wife own 7,421,787 and 21,575,875 shares, respectively, of the common stock of the issuer. A trust of which Mr. Simmons and his wife are trustees and the beneficiaries of which are the grandchildren of his wife owns 15,432 shares of the common stock of the issuer. Mr. Simmons and his wife each disclaims beneficial ownership of, and a pecuniary interest in, the shares of the issuer's common stock that his or her spouse owns or this trust owns. See the Additional Information filed as Exhibit 99 to this statement for a description of the relationships Mr. Simmons and his wife have to the other reporting persons. Exhibit Index Exhibit 99 - Additional Information |