Initial Statement of Beneficial Ownership (3)
February 26 2014 - 12:19PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Harold C. Simmons Family Trust No. 2
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2. Date of Event Requiring Statement (MM/DD/YYYY)
12/28/2013
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3. Issuer Name
and
Ticker or Trading Symbol
NL INDUSTRIES INC [NL]
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(Last)
(First)
(Middle)
THREE LINCOLN CENTER, 5430 LBJ FREEWAY, SUITE 1700
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
___
X
___ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Street)
DALLAS, TX 75240
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock, par value $0.01 per share
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40387531
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I
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By Valhi
(1)
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Common Stock, par value $0.01 per share
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2000
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I
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By Kronos
(2)
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Common Stock, par value $0.01 per share
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1482208
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D
(3)
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Common Stock, par value $0.01 per share
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500
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D
(4)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(
1)
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Directly held by Valhi, Inc. See the Additional Information filed as Exhibit 99 to this statement for a description of the relationship of additional persons who may be deemed to beneficially own these shares.
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(
2)
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Directly held by Kronos Worldwide, Inc. See the Additional Information filed as Exhibit 99 to this statement for a description of the relationship of additional persons who may be deemed to beneficially own these shares.
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(
3)
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Consists of 1,055,607 shares held directly by the estate of Harold C. Simmons of which Annette C. Simmons is the independent executor and the designated legatee of these shares and 426,601 shares she holds directly. See the Additional Information filed as Exhibit 99 to the statement for a description of the relationships among the reporting owners.
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(
4)
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Directly held by Serena S. Connelly.
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Remarks:
Exhibit Index
Exhibit 99 Additional Information
Exhibit 24.1 Lisa K. Simmons Power of Attorney
Exhibit 24.2 Serena S. Connelly Power of Attorney
Exhibit 24.3 Harold C. Simmons Family Trust No. 1 Power of Attorney
Exhibit 24.4 Harold C. Simmons Family Trust No. 2 Power of Attorney
Exhibit 24.5 Annette C. Simmons Power of Attorney
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Harold C. Simmons Family Trust No. 2
THREE LINCOLN CENTER, 5430 LBJ FREEWAY
SUITE 1700
DALLAS, TX 75240
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X
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Harold C. Simmons Family Trust No. 1
THREE LINCOLN CENTER, 5430 LBJ FREEWAY
SUITE 1700
DALLAS, TX 75240
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X
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Simmons Annette C
5430 LBJ FREEWAY, SUITE 1700
DALLAS, TX 75240
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X
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Simmons Lisa K
THREE LINCOLN CENTER, 5430 LBJ FREEWAY
SUITE 1700
DALLAS, TX 75240
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X
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CONNELLY SERENA S
THREE LINCOLN CENTER, 5430 LBJ FREEWAY
SUITE 1700
DALLAS, TX 75240
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X
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Signatures
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A. Andrew R. Louis, Attorney-in-fact, for Lisa K. Simmons, Co-Trustee of the Harold C. Simmons Family Trust No. 1
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2/25/2014
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**
Signature of Reporting Person
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Date
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A. Andrew R. Louis, Attorney-in-fact, for Serena S. Connelly, Co-Trustee of the Harold C. Simmons Family Trust No. 1
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2/25/2014
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**
Signature of Reporting Person
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Date
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A. Andrew R. Louis, Attorney-in-fact, for Lisa K. Simmons, Co-Trustee of the Harold C. Simmons Family Trust No. 2
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2/25/2014
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**
Signature of Reporting Person
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Date
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A. Andrew R. Louis, Attorney-in-fact, for Serena S.Connelly, Co-Trustee of the Harold C. Simmons Family Trust No. 2
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2/25/2014
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**
Signature of Reporting Person
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Date
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A. Andrew R. Louis, Attorney-in-fact, for Annette C. Simmons
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2/25/2014
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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