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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT 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 2270 (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 at End of Issuer's Fiscal Year (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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(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 |  |
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 |  |  |
A. Andrew R. Louis, Attorney-in-fact, for Harold C. Simmons | 02/10/2010 | |
**Signature of Reporting Person | Date | |
A. Andrew R. Louis, Secretary, for Contran Corporation | 02/10/2010 | |
**Signature of Reporting Person | Date | |
A. Andrew R. Louis, Secretary, for Valhi Holding Company | 02/10/2010 | |
**Signature of Reporting Person | Date | |
A. Andrew R. Louis, Secretary, for Dixie Rice Agricultural Corporation, Inc. | 02/10/2010 | |
**Signature of Reporting Person | Date | |
A. Andrew R. Louis, Attorney-in-fact, for Annette C. Simmons | 02/10/2010 | |
**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) | Charitable gift by Annette C. Simmons. See the Additional Information filed as Exhibit 99 to this statement for a description of the relationship among the persons joining in this filing. |
(2) | Directly held by Annette C. Simmons. 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) | Charitable gift 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. |
(4) | Directly held 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. |
(5) | Charitable gift by Harold C. Simmons. See the Additional Information filed as Exhibit 99 to this statement for a description of the relationship among the persons joining in this filing. |
(6) | Charitable gift by Contran Corporation. See the Additional Information filed as Exhibit 99 to this statement for a description of the relationship among the persons joining in this filing. |
(7) | Directly held by Contran Corporation. See the Additional Information filed as Exhibit 99 to this statement for a description of the relationship among the persons joining in this filing. |
(8) | Directly held by Valhi, Inc. See the Additional Information filed as Exhibit 99 to this statement for a description of the relationship to the persons joining in this filing. |
(9) | Directly held by NL Industries, Inc. See the Additional Information filed as Exhibit 99 to this statement for a description of the relationship to the persons joining in this filing. |
(10) | Directly held by NL Environmental Management Services, Inc. See the Additional Information filed as Exhibit 99 to this statement for a description of the relationship to the persons joining in this filing. |
(11) | Directly held by The Annette Simmons Grandchildren's Trust. See the Additional Information filed as Exhibit 99 to this statement for a description of the relationship to the persons joining in this filing. |