SEC Form 5 · accession 0000072162-15-000002
NL INDUSTRIES INC · NL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Annette C Simmons
10% Owner
Period of report
Dec 31, 2014
Accepted (ET)
Mar 31, 2015 · 6:44 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000072162
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.01 per shareF1,F2 | Aug 29, 2014 | J | 559,045 | — | A | 1,482,208 | D | |
| Common Stock, par value $0.01 per shareF3 | holding | — | — | — | 40,387,531 | I | By Valhi | |
| Common Stock, par value $0.01 per shareF4 | holding | — | — | — | 2,000 | I | by Kronos |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On August 29, 2014, Annette C. Simmons, the independent executor of the estate of Harold C.Simmons and the sole beneficiary of Mr. Simmons's individual retirement account ("IRA") upon his death, transferred the 559,045 shares of the issuer's common stock held in his IRA to her IRA. As the independent executor of such estate and the sole beneficiary of such IRA, Ms. Simmons had already beneficially owned such shares as of the date of such transfer.
- F2Consists of 496,562 shares directly held by the estate of Harold C. Simmons of which Annette C. Simmons is the independent executor and the designated legatee of these shares and 985,646 shares she holds directly (which includes the 559,405 shares transferred from Mr. Simmons's IRA to her IRA on August 29, 2014). See Exhibit 99.1 to this statement for a description of the relationships among the reporting owners.
- F3Directly held by Valhi, Inc. See the Additional Information filed as Exhibit 99.1 to this statement for a description of the relationship of additional persons who may be deemed to beneficially own these shares.
- F4Directly held by Kronos Worldwide, Inc. See the Additional Information filed as Exhibit 99.1 to this statement for a description of the relationship of additional persons who may be deemed to beneficially own these shares.
Remarks
Exhibit Index