1
|
NAMES OF REPORTING PERSONS AND I.R.S. IDENTIFICATION NOS. OF SUCH PERSONS (ENTITIES ONLY)
NL Industries, Inc.
|
||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) o
(b) o
|
||
3
|
SEC USE ONLY
|
||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
WC and OO
|
||
5
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) o
|
||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
New Jersey
|
||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
7
|
SOLE VOTING POWER
-0-
|
|
8
|
SHARED VOTING POWER
758,104
|
||
9
|
SOLE DISPOSITIVE POWER
-0-
|
||
10
|
SHARED DISPOSITIVE POWER
758,104
|
||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
758,104
|
||
12
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) o
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
31.8%
|
||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO
|
1
|
NAMES OF REPORTING PERSONS AND I.R.S. IDENTIFICATION NOS. OF SUCH PERSONS (ENTITIES ONLY)
Kronos Worldwide, Inc.
|
||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) o
(b) o
|
||
3
|
SEC USE ONLY
|
||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
WC and OO
|
||
5
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) o
|
||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
|
||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
7
|
SOLE VOTING POWER
-0-
|
|
8
|
SHARED VOTING POWER
758,104
|
||
9
|
SOLE DISPOSITIVE POWER
-0-
|
||
10
|
SHARED DISPOSITIVE POWER
758,104
|
||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
758,104
|
||
12
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) o
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
31.8%
|
||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO
|
1
|
NAMES OF REPORTING PERSONS AND I.R.S. IDENTIFICATION NOS. OF SUCH PERSONS (ENTITIES ONLY)
TIMET Finance Management Company
|
||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) o
(b) o
|
||
3
|
SEC USE ONLY
|
||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
Not applicable
|
||
5
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) o
|
||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
|
||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
7
|
SOLE VOTING POWER
-0-
|
|
8
|
SHARED VOTING POWER
758,104
|
||
9
|
SOLE DISPOSITIVE POWER
-0-
|
||
10
|
SHARED DISPOSITIVE POWER
758,104
|
||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
758,104
|
||
12
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) o
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
31.8%
|
||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO
|
1
|
NAMES OF REPORTING PERSONS AND I.R.S. IDENTIFICATION NOS. OF SUCH PERSONS (ENTITIES ONLY)
Titanium Metals Corporation
|
||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) o
(b) o
|
||
3
|
SEC USE ONLY
|
||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
Not applicable
|
||
5
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) o
|
||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
|
||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
7
|
SOLE VOTING POWER
-0-
|
|
8
|
SHARED VOTING POWER
758,104
|
||
9
|
SOLE DISPOSITIVE POWER
-0-
|
||
10
|
SHARED DISPOSITIVE POWER
758,104
|
||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
758,104
|
||
12
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) o
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
31.8%
|
||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO
|
1
|
NAMES OF REPORTING PERSONS AND I.R.S. IDENTIFICATION NOS. OF SUCH PERSONS (ENTITIES ONLY)
Valhi, Inc.
|
||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) o
(b) o
|
||
3
|
SEC USE ONLY
|
||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
Not applicable
|
||
5
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) o
|
||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
|
||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
7
|
SOLE VOTING POWER
-0-
|
|
8
|
SHARED VOTING POWER
758,104
|
||
9
|
SOLE DISPOSITIVE POWER
-0-
|
||
10
|
SHARED DISPOSITIVE POWER
758,104
|
||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
758,104
|
||
12
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) o
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
31.8%
|
||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO
|
1
|
NAMES OF REPORTING PERSONS AND I.R.S. IDENTIFICATION NOS. OF SUCH PERSONS (ENTITIES ONLY)
Valhi Holding Company
|
||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) o
(b) o
|
||
3
|
SEC USE ONLY
|
||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
Not applicable
|
||
5
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) o
|
||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
|
||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
7
|
SOLE VOTING POWER
-0-
|
|
8
|
SHARED VOTING POWER
758,104
|
||
9
|
SOLE DISPOSITIVE POWER
-0-
|
||
10
|
SHARED DISPOSITIVE POWER
758,104
|
||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
758,104
|
||
12
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) o
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
31.8%
|
||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO
|
1
|
NAMES OF REPORTING PERSONS AND I.R.S. IDENTIFICATION NOS. OF SUCH PERSONS (ENTITIES ONLY)
Dixie Rice Agricultural Corporation, Inc.
|
||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) o
(b) o
|
||
3
|
SEC USE ONLY
|
||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
Not applicable
|
||
5
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) o
|
||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Louisiana
|
||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
7
|
SOLE VOTING POWER
-0-
|
|
8
|
SHARED VOTING POWER
758,104
|
||
9
|
SOLE DISPOSITIVE POWER
-0-
|
||
10
|
SHARED DISPOSITIVE POWER
758,104
|
||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
758,104
|
||
12
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) o
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
31.8%
|
||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO
|
1
|
NAMES OF REPORTING PERSONS AND I.R.S. IDENTIFICATION NOS. OF SUCH PERSONS (ENTITIES ONLY)
Contran Corporation
|
||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) o
(b) o
|
||
3
|
SEC USE ONLY
|
||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
Not applicable
|
||
5
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) o
|
||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
|
||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
7
|
SOLE VOTING POWER
-0-
|
|
8
|
SHARED VOTING POWER
758,104
|
||
9
|
SOLE DISPOSITIVE POWER
-0-
|
||
10
|
SHARED DISPOSITIVE POWER
758,104
|
||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
758,104
|
||
12
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) o
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
31.8%
|
||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO
|
1
|
NAMES OF REPORTING PERSONS AND I.R.S. IDENTIFICATION NOS. OF SUCH PERSONS (ENTITIES ONLY)
The Combined Master Retirement Trust
|
||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) o
(b) o
|
||
3
|
SEC USE ONLY
|
||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
Not applicable
|
||
5
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) o
|
||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Texas
|
||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
7
|
SOLE VOTING POWER
-0-
|
|
8
|
SHARED VOTING POWER
758,104
|
||
9
|
SOLE DISPOSITIVE POWER
-0-
|
||
10
|
SHARED DISPOSITIVE POWER
758,104
|
||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
758,104
|
||
12
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) o
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
31.8%
|
||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
EP
|
1
|
NAMES OF REPORTING PERSONS AND I.R.S. IDENTIFICATION NOS. OF SUCH PERSONS (ENTITIES ONLY)
Harold Simmons Foundation, Inc.
|
||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) o
(b) o
|
||
3
|
SEC USE ONLY
|
||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
Not applicable
|
||
5
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) o
|
||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Texas
|
||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
7
|
SOLE VOTING POWER
-0-
|
|
8
|
SHARED VOTING POWER
758,104
|
||
9
|
SOLE DISPOSITIVE POWER
-0-
|
||
10
|
SHARED DISPOSITIVE POWER
758,104
|
||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
758,104
|
||
12
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) o
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
31.8%
|
||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO
|
1
|
NAMES OF REPORTING PERSONS AND I.R.S. IDENTIFICATION NOS. OF SUCH PERSONS (ENTITIES ONLY)
Harold C. Simmons
|
||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) o
(b) o
|
||
3
|
SEC USE ONLY
|
||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
PF and OO
|
||
5
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) o
|
||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
USA
|
||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
7
|
SOLE VOTING POWER
359,065
|
|
8
|
SHARED VOTING POWER
788,290
|
||
9
|
SOLE DISPOSITIVE POWER
359,065
|
||
10
|
SHARED DISPOSITIVE POWER
788,290
|
||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
359,065
|
||
12
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) ý
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
15.0%
|
||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN
|
Item 2.
|
Identity and Background.
|
·
|
NL Industries, Inc. (“NL”) as a direct holder of Class A Shares;
|
·
|
Kronos Worldwide, Inc. (“Kronos Worldwide”), TIMET Finance Management Company (“TFMC”), Titanium Metals Corporation (“TIMET”), Valhi, Inc. (“Valhi”), Valhi Holding Company (“VHC”), Dixie Rice Agricultural Corporation, Inc. (“Dixie Rice”), Contran Corporation (“Contran”), The Combined Master Retirement Trust (the “CMRT”) and the Harold Simmons Foundation, Inc. (the “Foundation”) by virtue of their direct or indirect ownership of NL; and
|
·
|
Harold C. Simmons by virtue of his direct and indirect ownership of Class A Shares and his positions with Contran and certain related entities (as described in this Statement).
|
NL
|
31.6%
|
Harold C. Simmons
|
15.0%
|
Annette C. Simmons
|
1.3%
|
Kronos Worldwide
|
Less than 0.1%
|
Valhi
|
83.0%
|
Harold C. Simmons
|
2.2%
|
Annette C. Simmons
|
0.7%
|
TFMC
|
0.5%
|
Kronos Worldwide
|
Less than 0.1%
|
VHC
|
23.7%
|
Annette C. Simmons
|
12.4%
|
CMRT
|
8.7%
|
Harold C. Simmons
|
3.2%
|
Kronos Worldwide
|
2.4%
|
Contran
|
2.0%
|
NL
|
0.8%
|
Valhi
|
0.5%
|
The Annette Simmons Grandchildren’s Trust (“Grandchildren’s Trust”)
|
Less than 0.1%
|
Valhi
|
50.0%
|
NL
|
30.4%
|
Harold C. Simmons
|
0.4%
|
TFMC
|
0.3%
|
Annette C. Simmons
|
0.1%
|
Contran
|
Less than 0.1%
|
VHC
|
92.7%
|
TFMC
|
1.6%
|
Harold Simmons Foundation, Inc. (“Foundation”)
|
0.8%
|
Harold C. Simmons
|
0.3%
|
Contran Amended and Restated Deferred Compensation Trust (“CDCT”)
|
0.3%
|
Annette C. Simmons
|
0.2%
|
The Combined Master Retirement Trust (“CMRT”)
|
0.1%
|
Grandchildren’s Trust
|
Less than 0.1%
|
Contran
|
Less than 0.1%
|
Item 3.
|
Source and Amount of Funds or Other Consideration.
|
Item 4.
|
Purpose of Transaction.
|
Item 5.
|
Interest in Securities of the Issuer.
|
Reporting Persons
|
Class A Shares Directly Held
|
Class B Shares Directly Held
|
||||||
NL
|
755,104 | 10,000,000 | ||||||
Harold C. Simmons
|
359,065 | -0- | ||||||
Annette C. Simmons
|
30,186 | -0- | ||||||
Kronos Worldwide
|
3,000 | -0- | ||||||
Total
|
1,147,355 | 10,000,000 |
Date
|
Reporting Person or Related Party
|
Number of Shares
|
Approximate Price Per Share ($) (exclusive of commissions)
|
06/13/11
|
Harold C. Simmons
|
100
|
$12.5500
|
06/13/11
|
Harold C. Simmons
|
200
|
$12.6000
|
06/13/11
|
Harold C. Simmons
|
370
|
$12.6300
|
06/13/11
|
Harold C. Simmons
|
400
|
$12.6400
|
06/13/11
|
Harold C. Simmons
|
930
|
$12.6500
|
06/13/11
|
Harold C. Simmons
|
986
|
$12.5600
|
06/13/11
|
Harold C. Simmons
|
1,014
|
$12.6000
|
06/13/11
|
Harold C. Simmons
|
411
|
$12.5000
|
08/08/11
|
Annette C. Simmons
|
100
|
$11.7400
|
08/08/11
|
Annette C. Simmons
|
2
|
$11.9200
|
08/08/11
|
Annette C. Simmons
|
100
|
$11.9400
|
08/08/11
|
Annette C. Simmons
|
100
|
$12.0000
|
08/08/11
|
Annette C. Simmons
|
99
|
$12.1300
|
08/08/11
|
Annette C. Simmons
|
100
|
$12.1400
|
08/08/11
|
Annette C. Simmons
|
100
|
$12.1800
|
08/08/11
|
Annette C. Simmons
|
69
|
$12.3300
|
08/08/11
|
Annette C. Simmons
|
200
|
$12.3400
|
08/08/11
|
Annette C. Simmons
|
100
|
$12.4400
|
08/08/11
|
Annette C. Simmons
|
873
|
$12.5000
|
08/09/11
|
Annette C. Simmons
|
34
|
$11.6500
|
08/09/11
|
Annette C. Simmons
|
34
|
$11.9700
|
08/09/11
|
Annette C. Simmons
|
1
|
$12.1300
|
08/09/11
|
Annette C. Simmons
|
100
|
$12.3000
|
08/09/11
|
Annette C. Simmons
|
27
|
$12.3100
|
08/09/11
|
Annette C. Simmons
|
404
|
$12.5000
|
08/10/11
|
Annette C. Simmons
|
733
|
$12.5000
|
08/12/11
|
Annette C. Simmons
|
610
|
$13.0000
|
Item 6.
|
Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer.
|
|
Signature
|
Name
|
Present Principal Occupation
|
Christopher Armstrong
|
Executive Vice President, Strategic Planning and Business Initiatives of TIMET
|
Thomas E. Barry (1)
|
Vice president for executive affairs at Southern Methodist University and professor of marketing in the Edwin L. Cox School of Business at Southern Methodist University; and a director of Keystone Consolidated Industries, Inc., a subsidiary of Contran (“Keystone”), and Valhi.
|
James W. Brown
|
Vice president and chief financial officer of TIMET.
|
Brian W. Christian
|
Vice President, Strategic Business Development of Kronos Worldwide.
|
Serena S. Connelly
|
Director of the Company; and director and executive vice president of the Foundation.
|
Keith R. Coogan (2)
|
Private investor; and director of Kronos Worldwide and TIMET.
|
Norman S. Edelcup (3)
|
Mayor of Sunny Isles Beach, Florida; director of the Company and Valhi; and trustee of the Baron Funds, a mutual fund group.
|
Ulfert Fiand (4)
|
Vice Chairman of the Executive Management Committee and Chief Technology Officer of Kronos Worldwide.
|
L. Andrew Fleck
|
Vice president of Dixie Rice; and vice president-real estate of Contran.
|
Lisa K. Simmons
|
Director and president of the Foundation.
|
Name
|
Present Principal Occupation
|
Robert D. Graham
|
Executive vice president of the Company and TIMET; vice president of Contran, Dixie Rice, Valhi and VHC; executive vice president and general counsel of Kronos Worldwide; and vice president and general counsel of NL.
|
Tim C. Hafer
|
Vice president and controller of Kronos Worldwide and NL.
|
Gregory Harrison (5)
|
Treasurer of TFMC.
|
J. Mark Hollingsworth
|
Vice president and general counsel of the Company, Contran, Dixie Rice, Keystone, Valhi and VHC; general counsel of the Foundation; and trust counsel of The Combined Master Retirement Trust, a trust Contran sponsors that permits the collective investment by master trusts that maintain the assets of certain employee benefit plans Contran and related companies adopt (the “CMRT”)
|
Janet G. Keckeisen
|
Vice President, Investor Relations of Kronos Worldwide.
|
William J. Lindquist
|
Director and senior vice president of Contran and VHC; senior vice president of Dixie Rice and Valhi; chief executive officer of Waste Control Specialists LLC, a subsidiary of Valhi; and vice president of the Foundation.
|
A. Andrew R. Louis
|
Vice president and secretary of the Company, Kronos Worldwide, NL and Valhi; secretary of Contran, Dixie Rice, the Foundation and VHC.
|
Kelly D. Luttmer
|
Vice president and global tax director of the Company, Kronos Worldwide, NL, TIMET and Valhi; and vice president and tax director of Contran, Dixie Rice, Keystone and VHC.
|
H. Joseph Maas (6)
|
President, Sales and Marketing of Kronos Worldwide.
|
W. Hayden McIlroy (7)
|
Private investor primarily in real estate; and a director of Valhi.
|
Name
|
Present Principal Occupation
|
Cecil H. Moore, Jr. (8)
|
Private investor; and a director of NL and Kronos Worldwide.
|
Tanya M. Murray (9)
|
Director of The Stewart Law Firm; and director, and secretary of TFMC.
|
Andrew B. Nace
|
Vice president and general counsel of TIMET.
|
Bobby D. O’Brien
|
Vice president, chief financial officer and director of VHC; president and chief executive officer of TIMET; vice president and chief financial officer of Contran, Dixie Rice and Valhi.
|
George E. Poston (10)
|
Director of Kronos Worldwide; president of Poston Real Estate Co., a privately held commercial real estate investment company; and president of Poston Capital Co., a privately held investment company.
|
Klemens Schlüter (4)
|
President, Manufacturing of Kronos Worldwide.
|
Glenn R. Simmons
|
Vice chairman of the board of Contran, Dixie Rice, Valhi and VHC; chairman of the board of the Company and Keystone; and a director of Kronos Worldwide, NL and TIMET.
|
Harold C. Simmons
|
Chairman of the board of Contran, Dixie Rice, the Foundation, Kronos Worldwide, TIMET, Valhi and VHC; chairman of the board and chief executive officer of NL; and trustee and member of the investment committee of the CMRT.
|
Thomas P. Stafford (11)
|
Director of NL and TIMET; chairman of the NASA Advisory Council Task Force on the International Space Station Program.
|
John A. St. Wrba
|
Vice president and treasurer of Contran, Dixie Rice, Kronos Worldwide, NL, TIMET, Valhi and VHC; and treasurer of the Foundation.
|
Scott E. Sullivan
|
Vice president and controller of TIMET.
|
Name
|
Present Principal Occupation
|
Gregory M. Swalwell
|
Vice president and controller of Contran, Valhi and VHC; executive vice president and chief financial officer of Kronos Worldwide; vice president, finance and chief financial officer of NL; vice president of Dixie Rice and TIMET; and director and assistant secretary of TFMC.
|
R. Gerald Turner (1)
|
President of Southern Methodist University; and a director of Kronos Worldwide.
|
Steven L. Watson
|
Director and president of Contran, Dixie Rice and VHC; director, president and chief executive officer of Valhi; vice chairman and chief executive officer of Kronos Worldwide; vice chairman of TIMET; and a director of the Company, Keystone and NL.
|
Terry N. Worrell (12)
|
Director of NL and TIMET; a private investor with Worrell Investments, Inc., a real estate investment company.
|
Joan L. Yori (5)
|
Vice president-client services of Stewart Management Company; and director and president of TFMC.
|
Douglas C. Weaver (6)
|
Chairman of the Executive Management Committee of Kronos Worldwide.
|
Paul J. Zucconi (13)
|
A private investor and a director of TIMET.
|
(1)
|
The principal business address for Dr. Barry and President Turner is Southern Methodist University, Perkins Administration Bldg. #224, Dallas, Texas 75275.
|
(2)
|
The principal address for Mr. Coogan is 5209 Englenook Court, Plano, Texas 75023.
|
(3)
|
The principal business address for Mr. Edelcup is 17395 North Bay Road, Suite 103, Sunny Isles Beach, Florida 33160.
|
(4)
|
The principal business address for Messrs. Fiand and Schlüter is Pechstraße 5, Leverkusen, NRW 51373, GERMANY.
|
(5)
|
The principal business address for Mr. Harrison and Ms. Yori is Nemours Building, Suite 1410, 1007 Orange Street, Wilmington, Delaware 19801.
|
(6)
|
The principal business address for Messrs. Maas and Weaver is 5 Cedar Brook Drive, Cranbury, New Jersey 08512.
|
(7)
|
The principal business address for Mr. McIlroy is 25 Highland Park Village, Suite 100-341, Dallas, Texas 75225.
|
(8)
|
The address for Mr. Moore is 4444 Beverly Drive, Dallas, Texas 75205.
|
(9)
|
The principal business address for Ms. Murray is Nemours Building, Suite 1400, 1007 Orange Street, Wilmington, Delaware 19801.
|
(10)
|
The principal business address for Mr. Poston is 3407 North Hall Street, Dallas, Texas 75219.
|
(11)
|
The principal business address for Gen. Stafford (ret.) is Stafford Technology Inc., Suite 102, 4200 Perimeter Center, Oklahoma City, Oklahoma 73112.
|
(12)
|
The address for Mr. Worrell is 6909 Vassar, Dallas, Texas 75205.
|
(13)
|
The address for Mr. Zucconi is 2801 Mill Haven Court, Plano, Texas 75093.
|
Name
|
Class A Shares Held
|
Stock Options Held (1)
|
Total
|
Christopher Armstrong
|
-0-
|
-0-
|
-0-
|
Thomas E. Barry
|
-0-
|
-0-
|
-0-
|
James W. Brown
|
-0-
|
-0-
|
-0-
|
Brian W. Christian
|
-0-
|
-0-
|
-0-
|
Serena S. Connelly
|
1,000
|
-0-
|
1,000
|
Keith R. Coogan
|
3,500
|
-0-
|
3,500
|
Norman S. Edelcup
|
9,000
|
-0-
|
9,000
|
Ulfert Fiand
|
-0-
|
-0-
|
-0-
|
L. Andrew Fleck
|
-0-
|
-0-
|
-0-
|
Lisa K. Simmons
|
-0-
|
-0-
|
-0-
|
Robert D. Graham
|
-0-
|
-0-
|
-0-
|
Tim C. Hafer
|
-0-
|
-0-
|
-0-
|
Gregory Harrison
|
-0-
|
-0-
|
-0-
|
J. Mark Hollingsworth
|
-0-
|
-0-
|
-0-
|
Janet Keckeisen
|
-0-
|
-0-
|
-0-
|
William J. Lindquist
|
-0-
|
-0-
|
-0-
|
A. Andrew R. Louis
|
-0-
|
-0-
|
-0-
|
Kelly D. Luttmer
|
200
|
-0-
|
200
|
H. Joseph Maas.
|
-0-
|
-0-
|
-0-
|
W. Hayden McIlroy
|
-0-
|
-0-
|
-0-
|
Name
|
Class A Shares Held
|
Stock Options Held (1)
|
Total
|
Cecil H. Moore, Jr.
|
-0-
|
-0-
|
-0-
|
Tanya M. Murray
|
-0-
|
-0-
|
-0-
|
Andrew B. Nace
|
-0-
|
-0-
|
-0-
|
Bobby D. O’Brien
|
300
|
-0-
|
300
|
George E. Poston
|
-0-
|
-0-
|
-0-
|
Klemens Schlüter
|
-0-
|
-0-
|
-0-
|
Glenn R. Simmons (2)
|
26,300
|
1,200
|
27,500
|
Harold C. Simmons (3)
|
389,251
|
-0-
|
389,251
|
Thomas P. Stafford
|
-0-
|
-0-
|
-0-
|
John A. St. Wrba
|
-0-
|
-0-
|
-0-
|
Scott E. Sullivan
|
-0-
|
-0-
|
-0-
|
Gregory M. Swalwell
|
-0-
|
-0-
|
-0-
|
R. Gerald Turner.
|
-0-
|
-0-
|
-0-
|
Steven L. Watson
|
13,000
|
2,000
|
15,000
|
Terry N. Worrell
|
-0-
|
-0-
|
-0-
|
Joan L. Yori
|
-0-
|
-0-
|
-0-
|
Douglas C. Weaver
|
-0-
|
-0-
|
-0-
|
Paul J. Zucconi
|
-0-
|
-0-
|
-0-
|
(1)
|
Represents Class A Shares issuable pursuant to the exercise within 60 days of the date of this Statement of stock options.
|
(2)
|
Includes 500 Class A Shares held directly by Mr. Glenn R. Simmons’ wife. Mr. Simmons disclaims beneficial ownership of all such Shares.
|
(3)
|
Includes 36,180 Class A Shares held directly by Mr. Harold C. Simmons’ wife. Does not include other Shares of which Mr. Simmons may be deemed to possess indirect beneficial ownership as described in Items 2 and 5(a) of this Statement. Except for the 359,065 Class A Shares that he holds directly, Mr. Simmons disclaims beneficial ownership of all Shares.
|