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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 | |
Harold C. Simmons Family Trust No. 2 THREE LINCOLN CENTER, 5430 LBJ FREEWAY SUITE 1700 DALLAS, TX 75240 |
X | |||
Simmons Lisa K THREE LINCOLN CENTER, 5430 LBJ FREEWAY SUITE 1700 DALLAS, TX 75240 |
X | |||
CONNELLY SERENA S THREE LINCOLN CENTER, 5430 LBJ FREEWAY SUITE 1700 DALLAS, TX 75240 |
X | |||
NL INDUSTRIES INC 5430 LBJ FREEWAY, SUITE 1700 DALLAS, TX 75240 |
X |
Andrew B. Nace, Attorney-in-fact, for Lisa K.Simmons, Co-Trustee of the Harold C. Simmons Family Trust No. 2 | 07/18/2018 | |
**Signature of Reporting Person | Date | |
Andrew B. Nace, Attorney-in-fact, for Serena S. Connelly, Co-Trustee of the Harold C. Simmons Family Trust No. 2 | 07/18/2018 | |
**Signature of Reporting Person | Date | |
Andrew B. Nace, Executive Vice President of NL Industries, Inc. | 07/18/2018 | |
**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) | On July 17, 2018, NL Industries, Inc. ("NL") converted all its 10,000,000 shares of class B common stock, par value $0.01 per share (the "Class B Shares") of CompX International Inc. ("CompX") into 10,000,000 shares of class A common stock, par value $0.01 per share, of CompX, for no additional consideration, pursuant to the terms of the Second Amended and Restated Certificate of Incorporation of CompX. |
(2) | Directly held by NL. See Exhibit 99.1 to this statement for a description of the relationship of additional persons who may be deemed to beneficially own these shares. |
(3) | Directly held by Contran Corporation. See Exhibit 99.1 to this statement for a description of the relationship of additional persons who may be deemed to beneficially own these shares. |
(4) | Directly held by Kronos Worldwide, Inc. See Exhibit 99.1 to this statement for a description of the relationship of additional persons who may be deemed to beneficially own these shares. |
(5) | Directly held by Serena Simmons Connelly. |