SEC FORM
4
SEC Form 4
FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
OMB APPROVAL |
OMB Number: |
3235-0287 |
Estimated average burden |
hours per response: |
0.5 |
|
|
|
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b). |
1. Name and Address of Reporting Person*
THREE LINCOLN CENTRE |
5430 LBJ FREEWAY STE 1700 |
(Street)
|
2. Issuer Name and Ticker or Trading Symbol
COMPX INTERNATIONAL INC
[ CIX ]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
Director |
X |
10% Owner |
|
Officer (give title below) |
|
Other (specify below) |
|
|
3. Date of Earliest Transaction
(Month/Day/Year) 08/03/2007
|
4. If Amendment, Date of Original Filed
(Month/Day/Year)
|
6. Individual or Joint/Group Filing (Check Applicable Line)
X |
Form filed by One Reporting Person |
|
Form filed by More than One Reporting Person |
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
1. Title of Security (Instr.
3)
|
2. Transaction Date
(Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction Code (Instr.
8)
|
4. Securities Acquired (A) or Disposed Of (D) (Instr.
3, 4 and 5)
|
5.
Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr.
3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
|
7. Nature of Indirect Beneficial Ownership (Instr.
4)
|
Code |
V |
Amount |
(A) or (D) |
Price |
Class A Common Stock $0.01 par value |
08/03/2007 |
|
P |
|
1,000 |
A |
$13.85
|
57,900 |
D |
|
Class A Common Stock $0.01 par value |
08/03/2007 |
|
P |
|
200 |
A |
$13.98
|
58,100 |
D |
|
Class A Common Stock $0.01 par value |
08/03/2007 |
|
P |
|
2,700 |
A |
$14
|
60,800 |
D |
|
Class A Common Stock $0.01 par value |
08/03/2007 |
|
P |
|
100 |
A |
$13.99
|
60,900 |
D |
|
Class A Common Stock $0.01 par value |
08/03/2007 |
|
P |
|
2,000 |
A |
$13.95
|
62,900 |
D |
|
Class A Common Stock $0.01 par value |
08/03/2007 |
|
P |
|
1,900 |
A |
$14.25
|
64,800 |
D |
|
Class A Common Stock $0.01 par value |
08/03/2007 |
|
P |
|
2,000 |
A |
$14.5
|
66,800 |
D |
|
Class A Common Stock $0.01 par value |
08/03/2007 |
|
P |
|
100 |
A |
$13.8
|
66,900 |
D |
|
Class A Common Stock $0.01 par value |
|
|
|
|
|
|
|
2,586,820 |
I |
by CGI
|
Class A Common Stock $0.01 par value |
|
|
|
|
|
|
|
483,600 |
I |
by TFMC
|
Class A Common Stock $0.01 par value |
|
|
|
|
|
|
|
381,004 |
I |
by NL
|
Class A Common Stock $0.01 par value |
|
|
|
|
|
|
|
20,000 |
I |
bySpouse
|
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr.
4)
|
11. Nature of Indirect Beneficial Ownership (Instr.
4)
|
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Explanation of Responses: |
Remarks: |
|
A. Andrew R. Louis, Attorney-in-fact, for Harold C. Simmons |
08/06/2007 |
|
** Signature of Reporting Person |
Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* 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). |
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
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 Number. |
Additional Information
Exhibit 99 - Additional Information
CompX Group, Inc. ("CGI"), TIMET Finance Management Company ("TFMC"), NL
Industries, Inc. ("NL"), Harold C. Simmons and his spouse are the direct holders
of 48.9%, 9.1%, 7.2%, 1.3% and 0.4% respectively, of the outstanding shares of
class A common stock, par value $0.01 per share (the "Class A Common Stock"), of
the issuer.
CGI holds 100%, or 10,000,000 shares, of the issuer's Class B Common Stock,
par value $0.01 per share (the "Class B Common Stock", and collectively with the
Class A Common Stock, the "Common Stock"). The description of the relative
rights of the Common Stock contained in the issuer's restated certificate of
incorporation is hereby incorporated herein by reference to Exhibit 3.1 of the
issuers Registration Statement on Form S-1 (File No. 333-42643). As a result of
its ownership of all of the Class B Common Stock, CGI currently holds
approximately 82.3% of the combined voting power (97.4% for the election of
directors) of all classes of voting stock of the issuer.
Titanium Metals Corporation ("TIMET") is the direct holder of 100% of the
outstanding common stock of TFMC. Valhi Holding Company ("VHC"), Annette C.
Simmons, The Combined Master Retirement Trust (the "CMRT"), Harold C. Simmons,
NL Industries, Inc. ("NL"), NL Environmental Management Services, Inc. ("NL
EMS"), the Harold Simmons Foundation (the "Foundation"), the Contran Amended and
Restated Deferred Compensation Trust (the "CDCT"), Valhi, Inc. ("Valhi") and The
Annette Simmons Grandchildren's Trust (the "Grandchildren's Trust") are the
holders of approximately 30.9%, 11.5%, 9.5%, 3.1%, 1.0%, 0.3%, 0.3%, 0.1%, less
than 0.1% and less than 0.1%, respectively, of the outstanding shares of TIMET
common stock. The ownership of Ms. Simmons includes 20,824,200 shares of TIMET
common stock that she has the right to acquire upon exercise of 1,561,815 shares
of TIMET's 6 3/4% Series A Convertible Preferred Stock, par value $0.01 per
share (the "Series A Preferred Stock"), that she directly owns. The percentage
ownership of TIMET common stock held by Ms. Simmons assumes the full conversion
of only the shares of Series A Preferred Stock owned by her.
NL and TFMC are the direct holders of 82.4% and 17.6%, respectively, of the
outstanding common stock of CGI. Valhi and TFMC are the direct holders of 83.1%
and 0.5%, respectively, of the outstanding common stock of NL.
VHC, the Foundation, the CDCT and the CMRT are the direct holders of 92.2%,
0.9%, 0.4% and 0.1%, respectively, of the common stock of Valhi. Valhi Group,
Inc. ("VGI"), National City Lines, Inc. ("National") and Contran Corporation
("Contran") are the direct holders of 87.4%, 10.3% and 2.3%, respectively, of
the outstanding common stock of VHC. National, NOA, Inc. ("NOA") and Dixie
Holding Company ("Dixie Holding") are the direct holders of approximately 73.3%,
11.4% and 15.3%, respectively, of the outstanding common stock of VGI. Contran
and NOA are the direct holders of approximately 85.7% and 14.3%, respectively,
of the outstanding common stock of National. Contran and Southwest Louisiana
Land Company, Inc. ("Southwest") are the direct holders of approximately 49.9%
and 50.1%, respectively, of the outstanding common stock of NOA. Dixie Rice
Agricultural Corporation, Inc. ("Dixie Rice") is the direct holder of 100% of
the outstanding common stock of Dixie Holding. Contran is the holder of 100% of
the outstanding common stock of Dixie Rice. Contran is also the holder of
approximately 96.3% of the outstanding common stock of Southwest.
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 the Trusts, Mr. Simmons has the power to vote and direct the disposition of
the shares of Contran stock held by the Trusts. Mr. Simmons, however, disclaims
beneficial ownership of any shares of Contran stock that the Trusts hold.
The Foundation directly holds approximately 0.3% of the outstanding shares
of TIMET common stock and 0.9% of the outstanding shares of Valhi common stock.
The Foundation is a tax-exempt foundation organized for charitable purposes.
Harold C. Simmons is the chairman of the board of the Foundation.
The CDCT directly holds approximately 0.1% of the outstanding shares of
TIMET common stock and 0.4% of the outstanding Valhi common stock. 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 Valhi 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.
The CMRT directly holds approximately 9.5% of the outstanding shares of
TIMET common stock and 0.1% of the outstanding shares of Valhi common stock.
Contran sponsors the CMRT, which permits the collective investment by master
trusts that maintain the assets of certain employee benefit plans Contran and
related companies adopt. Mr. Simmons is the sole trustee of the CMRT and a
member of the trust investment committee for the CMRT. Mr. Simmons is a
participant in one or more of the employee benefit plans that invest through the
CMRT.
NL and a subsidiary of NL directly own 3,522,967 shares and 1,186,200
shares, respectively, of Valhi common stock. As already discussed, Valhi and
TFMC are the direct holders of approximately 83.1% and 0.5%, respectively, of
the outstanding common stock of NL. Pursuant to Delaware law, Valhi treats the
shares of Valhi common stock that NL and the subsidiary of NL own as treasury
stock for voting purposes and for the purposes of this statement such shares are
not deemed outstanding.
Mr. Harold C. Simmons is chairman of the board of CGI, Tremont, Valhi, VHC,
VGI, National, NOA, Dixie Holding, Dixie Rice, Southwest, TIMET and Contran and
chairman of the board and chief executive officer of NL.
By virtue of the holding of the offices, the stock ownership and his
service as trustee, all as described above, (a) Mr. Simmons may be deemed to
control the entities described above and (b) Mr. Simmons and certain of such
entities may be deemed to possess indirect beneficial ownership of the shares of
Class A or Class B Common Stock that are directly held by CGI, TFMC or NL.
However, Mr. Simmons disclaims such beneficial ownership of the shares of Class
A or Class B Common Stock beneficially owned, directly or indirectly, by any of
such entities.
Harold C. Simmons' spouse is the direct owner of 20,000 shares of Class A
Common Stock, 263,675 shares of TIMET common stock, 1,561,815 shares of TIMET
Series A Preferred Stock, 269,775 shares of NL common stock and 43,400 shares of
Valhi common stock. Mr. Simmons may be deemed to share indirect beneficial
ownership of such securities. Mr. Simmons disclaims beneficial ownership of all
securities that his spouse holds directly.
Mr. Harold C. Simmons is the direct owner of 66,900 shares of Class A
Common Stock, 5,057,974 shares of TIMET common stock, 555,300 shares of NL
common stock and 3,383 shares of Valhi common stock.
A trust, of which Harold C. Simmons and his spouse are trustees and the
beneficiaries are the grandchildren of his spouse, is the direct holder of
36,500 shares of the common stock of Valhi and 17,432 shares of the common stock
of TIMET. 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 of Valhi common stock and
TIMET common stock that this trust holds.