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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 | |
SIMMONS HAROLD C 5430 LBJ FREEWAY, SUITE 1700 DALLAS, TX 75240 |
X | X | Chairman of the Board | |
Simmons Annette C 5430 LBJ FREEWAY, SUITE 1700 DALLAS, TX 75240 |
X |
A. Andrew R. Louis, Attorney-in-fact, for Annette C. Simmons | 08/19/2009 | |
**Signature of Reporting Person | Date | |
A. Andrew R. Louis, Attorney-in-fact, for Harold C. Simmons | 08/19/2009 | |
**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) | See Exhibit 99.1 attached hereto |
(2) | Exempt transaction based on Rule 16a-13 promulgated by the U.S. Securities and Exchange Commission. |
(3) | Directly held by the Contran Amended and Restated Deferred Compensation Trust. See Exhibits 99.1 and 99.2 for, among other things, a description of the relationships to the persons joining in this filing. |
(4) | Directly held by Valhi Holding Company. See Exhibits 99.1 and 99.2 for, among other things, a description of the relationships among the persons joining in this filing. |
(5) | Directly held by NL Industries, Inc. See Exhibits 99.1 and 99.2 for, among other things, a description of the relationships to the persons joining in this filing. |
(6) | Directly held by Valhi, Inc. See Exhibits 99.1 and 99.2 for, among other things, a description of the relationships to the persons joining in this filing. |
(7) | Directly held by NL Environmental Management Services, Inc. See Exhibits 99.1 and 99.2 for, among other things, a description of the relationships to the persons joining in this filing. |
(8) | Directly held by the reporting person's spouse. The reporting person disclaims beneficial ownership of these shares . |
(9) | Directly held by The Annette Simmons Grandchildren's Trust. See Exhibits 99.1 and 99.2 for, among other things, a description of the relationships to the persons joining in this filing. |
Remarks: Exhibit Index: 99.1 Description of the Transactions 99.2 Additional Information |