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
310,346,282
|
||
9
|
SOLE DISPOSITIVE POWER
-0-
|
||
10
|
SHARED DISPOSITIVE POWER
310,346,282
|
||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
310,346,282
|
||
12
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) □
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
91.5%
|
||
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
310,346,282
|
||
9
|
SOLE DISPOSITIVE POWER
-0-
|
||
10
|
SHARED DISPOSITIVE POWER
310,346,282
|
||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
310,346,282
|
||
12
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) □
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
91.5%
|
||
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
310,346,282
|
||
9
|
SOLE DISPOSITIVE POWER
-0-
|
||
10
|
SHARED DISPOSITIVE POWER
310,346,282
|
||
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
56,136
|
|
8
|
SHARED VOTING POWER
310,346,282
|
||
9
|
SOLE DISPOSITIVE POWER
56,136
|
||
10
|
SHARED DISPOSITIVE POWER
310,346,282
|
||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
56,136
|
||
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
310,346,282
|
||
9
|
SOLE DISPOSITIVE POWER
-0-
|
||
10
|
SHARED DISPOSITIVE POWER
310,346,282
|
||
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.
|
•
|
Dixie Rice Agricultural L.L.C. (“Dixie Rice”) as a direct holder of Shares;
|
•
|
Contran Corporation (“Contran”) by virtue of its indirect ownership of 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.
|
Dixie Rice
|
91.5%
|
Serena Simmons Connelly
|
Less than 1%
|
Valhi
|
50.1%
|
NLKW Holding LLC (“NLKW”)
|
30.4%
|
Contran
|
Less than 1%
|
Serena Simmons Connelly
|
Less than 1%
|
Valhi
|
82.8%
|
Kronos Worldwide (“Kronos Worldwide”)
|
Less than 1%
|
Serena Simmons Connelly
|
Less than 1%
|
Item 4. |
Purpose of Transaction
|
Item 5. |
Interest in Securities of the Issuer.
|
Reporting Person
|
Shares Directly Held
|
|||
Dixie Rice
|
310,346,282
|
|||
Serena Simmons Connelly
|
56,136
|
|||
Total
|
310,402,418
|
Item 6. |
Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer.
|
Item 7. |
Material to be Filed as Exhibits.
|
Exhibit 1*
|
Pledge Agreement dated as of December 31, 2018 between Contran Corporation and Dixie Rice Agricultural L.L.C. for the benefit of the Contran Deferred Compensation Trust No. 3.
|
Exhibit 2*
|
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
|
Name
|
Present Principal Occupation
|
Serena S. Connelly
|
Co-chair of the board of Contran
|
Robert D. Graham
|
Vice chairman of the board of CompX; vice chairman of the board and chief executive officer of NL; 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
|
Kelly D. Luttmer
|
Executive vice president and chief tax officer of CompX, Kronos Worldwide, NL, Valhi, Dixie Rice and Contran
|
Andrew B. Nace
|
Executive vice president of CompX, Kronos Worldwide and NL; executive vice president, general counsel and secretary of Valhi; and executive vice president, general counsel and secretary of
Dixie Rice and Contran
|
Lisa K. Simmons
|
Co-chair of the board of Contran
|
Gregory M. Swalwell
|
Executive vice president, chief financial officer and chief accounting officer of Dixie Rice and Contran
|
Name
|
Shares Held
|
|
Serena S. Connelly
|
56,136
|
(1)
|
Robert D. Graham
|
4,000
|
|
Kelly D. Luttmer
|
-0-
|
|
Andrew B. Nace
|
-0-
|
|
Lisa K. Simmons
|
-0-
|
(2)
|
Gregory M. Swalwell
|
3,498
|
(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 56,136 Shares
that she holds directly or through one of the Other Trusts for which she is sole trustee and sole beneficiary, Ms. Connelly disclaims beneficial ownership of all Shares.
|
(2)
|
Does not include Shares of which Ms. Simmons may be deemed to possess indirect beneficial ownership as described in Items 2 and 5(a) of this Statement. Ms. Lisa Simmons disclaims beneficial ownership of all
Shares.
|
Contran Corporation
By: /s/ Kelly D. Luttmer
Kelly D. Luttmer,
Executive Vice President
|
Dixie Rice Agricultural L.L.C.
By: /s/ Gregory M. Swalwell
Gregory M. Swalwell,
Executive Vice President
|
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
|