1
|
NAMES OF REPORTING PERSONS
NLKW Holding, LLC
|
||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) □
(b) □
|
||
3
|
SEC USE ONLY
|
||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
||
5
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) □
|
||
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
35,219,270
|
||
9
|
SOLE DISPOSITIVE POWER
-0-
|
||
10
|
SHARED DISPOSITIVE POWER
35,219,270
|
||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
35,219,270
|
||
12
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) □
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
30.4%
|
||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
OO
|
1
|
NAMES OF REPORTING PERSONS
NL Industries, Inc.
|
||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) □
(b) □
|
||
3
|
SEC USE ONLY
|
||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
||
5
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) □
|
||
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
35,219,270
|
||
9
|
SOLE DISPOSITIVE POWER
-0-
|
||
10
|
SHARED DISPOSITIVE POWER
35,219,270
|
||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
35,219,270
|
||
12
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) □
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
30.4%
|
||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO
|
1
|
NAMES OF REPORTING PERSONS
Valhi, Inc.
|
||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) □
(b) □
|
||
3
|
SEC USE ONLY
|
||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
||
5
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) □
|
||
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
93,209,312
|
||
9
|
SOLE DISPOSITIVE POWER
-0-
|
||
10
|
SHARED DISPOSITIVE POWER
93,209,312
|
||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
93,209,312
|
||
12
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) □
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
80.5%
|
||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO
|
1
|
NAMES OF REPORTING PERSONS
Dixie Rice Agricultural L.L.C.
|
||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) □
(b) □
|
||
3
|
SEC USE ONLY
|
||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
||
5
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) □
|
||
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
93,209,312
|
||
9
|
SOLE DISPOSITIVE POWER
-0-
|
||
10
|
SHARED DISPOSITIVE POWER
93,209,312
|
||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
93,209,312
|
||
12
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) □
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
80.5%
|
||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
OO
|
1
|
NAMES OF REPORTING PERSONS
Contran Corporation
|
||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) □
(b) □
|
||
3
|
SEC USE ONLY
|
||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
||
5
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) □
|
||
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
93,346,984
|
||
9
|
SOLE DISPOSITIVE POWER
-0-
|
||
10
|
SHARED DISPOSITIVE POWER
93,346,984
|
||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
93,346,984
|
||
12
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) □
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
80.6%
|
||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO
|
1
|
NAMES OF REPORTING PERSONS
Lisa K. Simmons
|
||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) □
(b) □
|
||
3
|
SEC USE ONLY
|
||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
||
5
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) □
|
||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
USA
|
||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
7
|
SOLE VOTING POWER
-0-
|
|
8
|
SHARED VOTING POWER
93,346,984
|
||
9
|
SOLE DISPOSITIVE POWER
-0-
|
||
10
|
SHARED DISPOSITIVE POWER
93,346,984
|
||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
-0-
|
||
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)
0.0%
|
||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN
|
1
|
NAMES OF REPORTING PERSONS
Serena Simmons Connelly
|
||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) □
(b) □
|
||
3
|
SEC USE ONLY
|
||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
||
5
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) □
|
||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
USA
|
||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
7
|
SOLE VOTING POWER
526
|
|
8
|
SHARED VOTING POWER
93,346,984
|
||
9
|
SOLE DISPOSITIVE POWER
526
|
||
10
|
SHARED DISPOSITIVE POWER
93,346,984
|
||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
526
|
||
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)
0.0%
|
||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN
|
1
|
NAMES OF REPORTING PERSONS
Harold C. Simmons Family Trust No. 2
|
||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) □
(b) □
|
||
3
|
SEC USE ONLY
|
||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
||
5
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) □
|
||
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
93,346,984
|
||
9
|
SOLE DISPOSITIVE POWER
-0-
|
||
10
|
SHARED DISPOSITIVE POWER
93,346,984
|
||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
-0-
|
||
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)
0.0%
|
||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
OO
|
Item 2. |
Identity and Background.
|
•
|
NLKW Holding, LLC (“NLKW”) and Valhi,
Inc. (“Valhi”), as direct holders of Shares;
|
•
|
Contran Corporation (“Contran”), by
virtue of its indirect ownership of NLKW and Valhi;
|
•
|
NL Industries, Inc. (“NL”) and Dixie Rice
Agricultural LLC (“Dixie Rice”), by virtue of their direct or indirect ownership of NLKW and Valhi;
|
•
|
Lisa K. Simmons by virtue of ownership of outstanding voting stock of Contran by her and entities related to her, and her position as co-chair of
the Contran board of directors (the “Contran Board”);
|
•
|
Serena Simmons Connelly by virtue of ownership of outstanding voting stock of Contran by her and entities related to her, and her position as
co-chair of the Contran Board; and
|
•
|
the Harold C. Simmons Family Trust No. 2 (the “Family
Trust”), by virtue of its ownership of outstanding voting stock of Contran.
|
Valhi
|
50.1%
|
NLKW
|
30.4%
|
Contran
|
Less than 1%
|
Serena Simmons Connelly
|
Less than 1%
|
Valhi
|
82.8%
|
Kronos Worldwide
|
Less than 1%
|
Serena Simmons Connelly
|
Less than 1%
|
Dixie Rice
|
92.6%
|
Serena Simmons Connelly
|
Less than 1%
|
Item 4. |
Purpose of Transaction.
|
Item 5. |
Interest in Securities of the Issuer.
|
Reporting Persons
|
Shares Directly Held
|
Valhi.
|
57,990,042
|
NLKW
|
35,219,270
|
Contran
|
137,672
|
Serena Simmons Connelly
|
526
|
Total
|
93,347,510
|
Item 7. |
Material to be Filed as Exhibits.
|
Exhibit 1*
|
Joint Filing Agreement dated as of September 4, 2019, among the Reporting Persons.
|
By: |
Tolleson Private Bank, not in its individual capacity but solely as trustee of the Harold C. Simmons Family Trust No. 2
|
By: | /s/ Tracey L. Reyes |
Name: |
Tracey L. Reyes
|
Title: |
Vice President, Director of Private Trust
|
Entity
|
Officer positions
|
Contran Corporation
|
President and Chief Executive Officer
|
Dixie Rice Agricultural L.L.C.
|
President and Chief Executive Officer
|
Valhi, Inc.
|
Vice Chairman of the Board, President and Chief Executive Officer
|
NL Industries, Inc.
|
Vice Chairman of the Board and Chief Executive Officer
|
NLKW Holding, LLC
|
Chief Executive Officer
|
Name
|
Present Principal Occupation
|
Thomas E. Barry
|
Professor of marketing, emeritus at the Edwin L. Cox School of Business at Southern Methodist University; and a director of CompX and Valhi
|
Patty S. Brinda
|
Vice president and controller of NL and NLKW
|
Clarence B. Brown, III
|
Vice president, general counsel and secretary of Kronos Worldwide; and vice president and secretary of NL and NLKW
|
James W. Brown
|
Senior vice president and chief financial officer of Kronos Worldwide and Valhi
|
Serena S. Connelly
|
Co-chair of the board of Contran
|
Steven S. Eaton
|
Vice president, internal control over financial reporting of CompX, Kronos Worldwide, NL, NLKW and Valhi
|
Loretta J. Feehan
|
Chair of the board (non-executive) of CompX, Kronos Worldwide, NL and Valhi; and certified public accountant who consults on financial and tax
matters
|
Robert D. Graham
|
Vice chairman of the board of CompX; vice chairman of the board and chief executive officer of NL; manager, chairman of the board and chief
executive officer of NLKW; vice chairman of the board, president and chief executive officer of Kronos Worldwide and Valhi; chairman of the board, president and chief executive officer of Dixie Rice; and director, president and chief
executive officer of Contran
|
Jane R. Grimm
|
Vice president and secretary of CompX and Valhi
|
John E. Harper
|
Private investor; and a director of Kronos Worldwide and NL
|
Name
|
Present Principal Occupation
|
Bryan A. Hanley
|
Vice president and treasurer of CompX, NL, NLKW, Kronos Worldwide, Valhi and Contran
|
Terri L. Herrington
|
Private investor; and a director of CompX and Valhi
|
Janet G. Keckeisen
|
Vice president, corporate strategy and investor relations of Kronos Worldwide and Valhi
|
Patricia A. Kropp
|
Vice president, global human resources of Kronos Worldwide; vice president, employee benefits of NL; and vice president, human resources of Contran
|
Kelly D. Luttmer
|
Executive vice president and chief tax officer of CompX, Kronos Worldwide, NL, NLKW, Valhi, Dixie Rice and Contran
|
Ann Manix
|
Director of Blue Canyon Partners, a global management consulting firm; principal of Summus, Ltd., a strategic consulting firm; manager of NLKW; and
a director of CompX
|
W. Hayden McIlroy (1)
|
Private investor primarily in real estate; and a director of Valhi
|
Meredith W. Mendes
|
Executive director and chief operating officer of Jenner & Block LLP; and a director of Kronos Worldwide and NL
|
Cecil H. Moore, Jr.
|
Private investor; and a director of Kronos Worldwide and NL
|
Andrew B. Nace
|
Executive vice president of CompX, Kronos Worldwide, NL and NLKW; executive vice president, general counsel and secretary of Valhi; and executive
vice president, general counsel and secretary of Dixie Rice and Contran
|
John R. Powers, III
|
Vice president and general counsel of NL and NLKW
|
Name
|
Present Principal Occupation
|
Courtney J. Riley
|
Vice president, environmental affairs of Kronos Worldwide; president of NL; manager and president of NLKW; executive vice president, environmental
affairs of Valhi; and senior vice president, environmental affairs of Contran
|
Amy A. Samford
|
Vice president and chief financial officer of CompX, NL and NLKW; and vice president and controller of Valhi and Contran
|
Lisa K. Simmons
|
Co-chair of the board of Contran
|
Michael S. Simmons
|
Vice president, finance of Kronos Worldwide; and vice president and chief accounting officer of Valhi
|
Thomas P. Stafford (2)
|
Chairman of the NASA Advisory Council Task Force on the International Space Station Program; and a director of Kronos Worldwide and NL
|
John A. Sunny
|
Vice president and chief information officer of Kronos Worldwide; and vice president, information technology of Valhi and Contran
|
Gregory M. Swalwell
|
Executive vice president, chief financial officer and chief accounting officer of Dixie Rice and Contran
|
Mary A. Tidlund (3)
|
Private investor; and a director of CompX and Valhi
|
(1) |
The principal business address for Mr. McIlroy is 25 Highland Park Village, Suite 100-341 Dallas, Texas 75225.
|
(2) |
The principal business address for Gen. Stafford (ret.) is Stafford Technology Inc., Suite 102, 4200 Perimeter Center, Oklahoma City, Oklahoma 73112.
|
(3) |
Ms. Tidlund is a citizen of Canada.
|
Name
|
Shares Held
|
|
Thomas E. Barry
|
58,400
|
|
Patty S. Brinda
|
-0-
|
|
Clarence B. Brown, III
|
-0-
|
|
James W. Brown
|
-0-
|
|
Serena S. Connelly
|
-0-
|
(1)
|
Steven S. Eaton
|
-0-
|
|
Loretta J. Feehan
|
9,800
|
|
Robert D. Graham
|
16,000
|
|
Jane R. Grimm
|
-0-
|
|
Bryan A. Hanley
|
-0-
|
|
John E. Harper
|
4,800
|
|
Terri L. Herrington
|
-0-
|
|
Janet G. Keckeisen
|
6,500
|
|
Patricia A. Kropp
|
-0-
|
|
Ann Manix
|
-0-
|
|
W. Hayden McIlroy
|
-0-
|
|
Meredith W. Mendes
|
2,300
|
|
Cecil H. Moore, Jr.
|
19,324
|
|
Andrew B. Nace
|
7,975
|
|
John R. Powers, III
|
-0-
|
Name
|
Shares Held
|
|
Courtney J. Riley
|
-0-
|
|
Amy A. Samford
|
-0-
|
|
Michael S. Simmons
|
-0-
|
|
Lisa K. Simmons
|
-0-
|
(2)
|
Thomas P. Stafford
|
24,608
|
|
John A. Sunny
|
-0-
|
|
Gregory M. Swalwell
|
-0-
|
|
Mary A. Tidlund
|
-0-
|
(1)
|
Does not include other Shares of which Ms. Connelly may be deemed to possess indirect beneficial ownership as described in Items 2 and 5(a) of
this Statement. Except for the 526 Shares she holds directly, Ms. Connelly disclaims beneficial ownership of all Shares.
|
(2)
|
Does not include Shares of which Ms. Lisa Simmons may be deemed to possess indirect beneficial ownership as described in Items 2 and 5(a) of this
Statement. Ms. Simmons disclaims beneficial ownership of all Shares.
|
By: |
Tolleson Private Bank, not in its individual capacity but solely as trustee of the Harold C. Simmons Family Trust No. 2
|
By: | /s/ Tracey L. Reyes |
Name: |
Tracey L. Reyes
|
Title: |
Vice President, Director of Private Trust
|