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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 | |||
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 | 07/26/2010 | |
**Signature of Reporting Person | Date | |
A. Andrew R. Louis, Attorney-in-fact, for Harold C. Simmons | 07/26/2010 | |
**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) | Capital contribution by the reporting person to a general partnership of which the reporting person is a general partner and the managing partner. |
(2) | The direct disposition and indirect acquisition are exempt pursuant to Rule 16a-13 since the transaction effected only a change in the form of beneficial ownership without changing the pecuniary interest of Contran Corporation in the shares directly disposed and indirectly acquired. See Additional Information filed as Exhibit 99 for a description of the relationships of COAM Company to the persons joining in this filing. |
(3) | Directly held by COAM Company. See the Additional Information filed as Exhibit 99 to this statement for a description of the relationship to the persons joining in this filing. |
(4) | Transferred in a private transaction to The University of Texas Southwestern Medical Center at Dallas ("UTSMCD") in partial satisfaction of certain payment obligations of COAM Company ("COAM") under certain sponsored research agreements COAM has with UTSMCD. |
(5) | Directly held by Valhi Holding Company. See the Additional Information filed as Exhibit 99 to this statement for a description of the relationship to the persons joining in this filing. |
(6) | Directly held 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. |
(7) | Directly held 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. |
(8) | Directly heldd 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 7,422,787 and 20,447,875 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. Exhibit Index Exhibit 99 - Additional Information |