0000059255-13-000252.txt : 20131212 0000059255-13-000252.hdr.sgml : 20131212 20131212183608 ACCESSION NUMBER: 0000059255-13-000252 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20131212 FILED AS OF DATE: 20131212 DATE AS OF CHANGE: 20131212 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: VALHI INC /DE/ CENTRAL INDEX KEY: 0000059255 STANDARD INDUSTRIAL CLASSIFICATION: INDUSTRIAL INORGANIC CHEMICALS [2810] IRS NUMBER: 870110150 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 5430 LBJ FRWY STREET 2: STE 1700 CITY: DALLAS STATE: TX ZIP: 75240 BUSINESS PHONE: 9722331700 MAIL ADDRESS: STREET 1: THREE LINCOLN CENTER STREET 2: 5430 LBJ FREEWAY SUITE 1700 CITY: DALLAS STATE: TX ZIP: 75240 FORMER COMPANY: FORMER CONFORMED NAME: LLC CORP DATE OF NAME CHANGE: 19870329 FORMER COMPANY: FORMER CONFORMED NAME: LIBERTY LOAN CORP DATE OF NAME CHANGE: 19800414 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CONTRAN CORP CENTRAL INDEX KEY: 0000024240 STANDARD INDUSTRIAL CLASSIFICATION: PERSONAL CREDIT INSTITUTIONS [6141] FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 333-48391 FILM NUMBER: 131274651 BUSINESS ADDRESS: STREET 1: 5430 LBJ FRWY STREET 2: SUITE 1700 CITY: DALLAS STATE: TX ZIP: 75240 BUSINESS PHONE: 9724504228 MAIL ADDRESS: STREET 1: 5430 LBJ FRWY STREET 2: SUITE 1700 CITY: DALLAS STATE: TX ZIP: 75240 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SIMMONS HAROLD C CENTRAL INDEX KEY: 0001037854 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 333-48391 FILM NUMBER: 131274652 MAIL ADDRESS: STREET 1: THREE LINCOLN CENTRE STREET 2: 5430 LBJ FREEWAY STE 1700 CITY: DALLAS STATE: TX ZIP: 75240-2697 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2013-12-12 0000059255 VALHI INC /DE/ VHI 0001037854 SIMMONS HAROLD C 5430 LBJ FREEWAY, SUITE 1700 DALLAS TX 75240 1 1 1 0 Chairman of the Board 0000024240 CONTRAN CORP 5430 LBJ FREEWAY, SUITE 1700 DALLAS TX 75240 0 0 1 0 Common stock, $0.01 par value per share 2013-12-12 4 J 0 1002 14.3783 A 3018659 I By Contran Common stock, $0.01 par value per share 2013-12-12 4 J 0 310 14.43 A 3018969 I By Contran Common stock, $0.01 par value per share 2013-12-12 4 J 0 3788 14.46 A 3022757 I By Contran Common stock, $0.01 par value per share 2013-12-12 4 J 0 300 14.65 A 3023057 I By Contran Common stock, $0.01 par value per share 1870880 D Common stock, $0.01 par value per share 314033148 I by VHC Common stock, $0.01 par value per share 1100541 I by CDCT Common stock, $0.01 par value per share 818514 I by Spouse Open market purchase by Contran Corporation. See the Additional Information filed as Exhibit 99 to this statement for a description of the relationship between the persons joining in this filing. Directly held by Contran Corporation. See the Additional Information filed as Exhibit 99 to this statement for a description of the relationship between the persons joining in this filing. Directly held by Valhi Holding Company. See the Additional Information filed as Exhibit 99 to this statement for a description of the relationship to the persons joining in this filing. Directly owned 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 to the persons joining in this filing. Directly held by the reporting person's spouse. Mr. Simmons disclaims beneficial ownership of any shares of the issuer's common stock that his spouse holds. See the Additional Information filed as Exhibit 99 to this statement for a description of the relationships to the persons joining in this filing. Exhibit Index Exhibit 99 - Additional Information A. Andrew R. Louis, Attorney-in-fact, for Harold C. Simmons 2013-12-12 A. Andrew R. Louis, Secretary, for Contran Corporation 2013-12-12 EX-99 2 f4vhi131212con.htm EXHIBIT 99 ADDITIONAL INFORMATION
F4vhi131212con

Exhibit 99

Additional Information



The following persons directly hold the following percentages of

the outstanding shares of common stock of the issuer, Valhi, Inc.

("Valhi"):



Valhi Holding Company ("VHC")..............................92.6%

Contran Corporation ("Contran")............................ 0.9%

Harold Simmons Foundation, Inc. (the "Foundation")..........0.7%

Harold C. Simmons...........................................0.6%

Contran Amended and Restated Deferred

  Compensation Trust (the "CDCT")...........................0.3%

Annette C. Simmons..........................................0.2%

The Annette Simmons Grandchildren's Trust

  (the "Grandchildren's Trust") ..................less than 0.1%



     The following persons directly hold the following percentages of the

outstanding shares of common stock of Kronos Worldwide, Inc. ("Kronos"):



Valhi......................................................50.0%

NL Industries, Inc. ("NL").................................30.4%

Annette C. Simmons..........................................0.7%

Harold C. Simmons...........................................0.7%

Contran.....................................................0.1%



     The following persons directly hold the following percentages of the

outstanding shares of common stock of NL:



Valhi......................................................83.0%

Harold C. Simmons...........................................2.2%

Annette C. Simmons..........................................0.9%

Kronos............................................less than 0.1%



     Dixie Rice Agricultural Corporation, Inc. ("Dixie Rice") is the

direct holder of 100% of the outstanding shares of common stock of VHC.

Contran is the holder of 100% of the outstanding shares of common stock

of Dixie Rice.



     Substantially all of Contran's outstanding voting stock is held by

trusts established for the benefit of certain children and grandchildren

of Harold C. Simmons (the "Trusts"), of which Mr. Simmons is the sole

trustee, or is held by Mr. Simmons or persons or other entities related

to Mr. Simmons.  As sole trustee of each of the Trusts, Mr. Simmons has

the power to vote and direct the disposition of the shares of Contran

stock held by each of the Trusts.  Mr. Simmons, however, disclaims

beneficial ownership of any shares of Contran stock that the Trusts hold.



     The Foundation is a tax-exempt foundation organized for

charitable purposes.  Harold C. Simmons is the chairman of the

board of the Foundation and may be deemed to control the Foundation.



     U.S. Bank National Association serves as the trustee of the CDCT.

Contran established the CDCT as an irrevocable "rabbi trust" to assist

Contran in meeting certain deferred compensation obligations that it owes

to Harold C. Simmons.  If the CDCT assets are insufficient to satisfy

such obligations, Contran is obligated to satisfy the balance of such

obligations as they come due.  Pursuant to the terms of the CDCT, Contran

(i) retains the power to vote the shares of the issuer's common stock

held directly by the CDCT, (ii) retains dispositive power over such

shares and (iii) may be deemed the indirect beneficial owner of such

shares.



     Mr. Harold C. Simmons is chairman of the board of Kronos, NL, Valhi

and VHC and chairman of the board and chief executive officer of Contran.



     By virtue of the offices held, the stock ownership and his services

as trustee, all as described above, (a) Mr. Simmons may be deemed to

control certain of such entities and (b) Mr. Simmons and certain of such

entities may be deemed to possess indirect beneficial ownership of, and a

pecuniary interest in, shares of common stock directly held by certain of

such other entities. However, Mr. Simmons disclaims such beneficial

ownership of, and such pecuniary interest in, such shares beneficially

owned, directly or indirectly, by any of such entities, except to the

extent of his vested beneficial interest, if any, in the shares the CDCT

holds directly.



     The reporting person understands that NL (including a wholly owned

subsidiary of NL) and Kronos directly own 14,372,970 shares and 1,724,916

shares, respectively, of Valhi common stock as of the date of this

statement. As already stated, Valhi is the direct holder of approximately

83.0% of the outstanding shares of common stock of NL and 50.0% of the

outstanding shares of Kronos common stock.  As a result of Valhi's direct

and indirect ownership of NL and Kronos, the reporting persons further

understand that, pursuant to Delaware law, Valhi treats the shares of

Valhi common stock that NL and Kronos own as treasury stock for voting

purposes. For the purposes of this statement, such shares of Valhi common

stock that NL and Kronos hold directly are not deemed outstanding.



     Annette C. Simmons is the wife of Harold C. Simmons.  Mr. Simmons

may be deemed to share indirect beneficial ownership of the shares that

his wife holds directly.  Mr. Simmons disclaims beneficial ownership of

all securities that his wife holds directly.  Mrs. Simmons disclaims

beneficial ownership of all shares she does not hold directly.



     The Grandchildren's Trust is a trust of which Harold C. Simmons and

his wife are trustees and the beneficiaries are the grandchildren of his

wife.  Mr. Simmons, as co-trustee of this trust, has the power to vote

and direct the disposition of the shares of Valhi common stock the trust

holds. Mr. Simmons disclaims beneficial ownership of any shares that this

trust holds.