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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 FRWY SUITE 1700 DALLAS, TX 75240 |
X | |||
VALHI INC /DE/ THREE LINCOLN CENTER 5430 LBJ FREEWAY SUITE 1700 DALLAS, TX 75240 |
X | |||
NATIONAL CITY LINES INC 5430 LBJ FREEWAY SUITE 1700 DALLAS, TX 75240 |
X | |||
DIXIE RICE AGRICULTURE CORP INC 600 PASQUIERE ST GUEYDAN, LA 70542 |
X | |||
SOUTHWEST LOUISIANA LAND CO INC 402 CANAL ST HOUMA, LA 70360 |
X | |||
NOA INC 5430 LBJ FREEWAY SUITE 1700 DALLAS, TX 75240 |
X | |||
VALHI GROUP INC 5430 LBJ FREEWAY SUITE 1700 DALLAS, TX 75240 |
X | |||
VALHI HOLDING CO 5430 LBJ FREEWAY SUITE 1700 DALLAS, TX 75240 |
X | |||
SIMMONS HAROLD C THREE LINCOLN CENTRE 5430 LBJ FREEWAY STE 1700 DALLAS, TX 75240-2697 |
X | X | Chairman of the Board | |
Simmons Annette C 5430 LBJ FREEWAY, SUITE 1700 DALLAS, TX 75240 |
X |
A. Andrew R. Louis, Secretary, for Contran Corporation | 10/15/2007 | |
**Signature of Reporting Person | Date | |
A. Andrew R. Louis, Secretary, for Valhi, Inc. | 10/15/2007 | |
**Signature of Reporting Person | Date | |
A. Andrew R. Louis, Secretary, for National City Lines, Inc. | 10/15/2007 | |
**Signature of Reporting Person | Date | |
A. Andrew R. Louis, Secretary, for Dixie Rice Agricultural Corporation, Inc. | 10/15/2007 | |
**Signature of Reporting Person | Date | |
A. Andrew R. Louis, Secretary, for Southwest Louisiana Land Company, Inc. | 10/15/2007 | |
**Signature of Reporting Person | Date | |
A. Andrew R. Louis, Secretary, for NOA, Inc. | 10/15/2007 | |
**Signature of Reporting Person | Date | |
A. Andrew R. Louis, Secretary, for Valhi Group, Inc. | 10/15/2007 | |
**Signature of Reporting Person | Date | |
A. Andrew R. Louis, Secretary, for Valhi Holding Company | 10/15/2007 | |
**Signature of Reporting Person | Date | |
A. Andrew R. Louis, Attorney-in-fact, for Harold C. Simmons | 10/15/2007 | |
**Signature of Reporting Person | Date | |
A. Andrew R. Louis, Attorney-in-fact, for Annette C. Simmons | 10/15/2007 | |
**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) | In reliance on Rule 16a-13 promulgated by the U.S. Securities and Exchange Commission under the Securities Exchange Act of 1934, as amended, Contran Corporation is filing this statement to report that on October 11, 2007, NL Industries, Inc. sold 800,000 shares of common stock par value $0.01 per share, of the issuer to Valhi, Inc. at a purchase price of $33.50 per share. 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 held by NL Industries, Inc. 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 held by Valhi, Inc. 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 NL Environmental Management Services, Inc. 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) | 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. |
(6) | Directly held by the Contran Amended and Restated Deferred Compensation Trust. See the Additional Information filed as Exhibit 99 to this statement for a description of the relationship among the persons joining in this filing. |
Remarks: Harold C. Simmons, Annette C. Simmons and The Annette Simmons Grandchildren's Trust directly own 5,127,974 shares, 343,675 shares and 17,432 shares, respectively, of the issuer's common stock. Mr. and Mrs. Simmons each disclaims beneficial ownership of any shares of the issuer's common stock that he or she does not directly hold. See the Additional Information filed as Exhibit 99 to this statement for a description of the relationship of the trust to the persons joining in this filing and for a description of the relationship among the persons joining in this filing. |