Unassociated Document

 
UNITED STATES
 
                                                  SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
 
FORM 144
NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
 
 
ATTENTION: Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly with a market maker.

 
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SEC USE ONLY
DOCUMENT SEQUENCE NO.
CUSIP NUMBER

 

 
      WORK LOCATION
1 (a) NAME OF ISSUER (Please type or print)     Valhi, Inc.
(b) IRS IDENT. NO.
87-0110150
(c) S.E.C. FILE NO.
1-5467
   

 
1 (d) ADDRESS OF ISSUER                                                              STREET                                            CITY                                         STATEZIP CODE
 
5430 LBJ Freeway, Suite 1700, Dallas, Texas 75240                                                                                     
 
(e) TELEPHONE NO.  AREA CODE (972) NUMBER 233-1700
 
 

2 (a) NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES                                              RELATIONSHIP TO ISSUER
ARE TO BE SOLD                                                                                            
Harold Simmons Foundation, Inc.                                                                                                                             Affiliate
 
(c) ADDRESS STREET                                         CITY                     STATE                ZIP CODE
5430 LBJ Freeway, Suite 1700, Dallas, Texas 75019
 
 
INSTRUCTION: The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.
 
3 (a)
Title of the
Class of
Securities
To Be Sold
(b)
Name and Address of Each Broker Through Whom the Securities are to be Offered or Each Market Maker who is Acquiring the Securities
SEC USE ONLY
(c)
Number of Shares
or Other Units
To Be Sold
(See instr. 3(c))
(d)
Aggregate Market Value
(See instr. 3(d))
(e)
Number of Shares
or Other Units
Outstanding
(See instr. 3(e))
(f)
Approximate Date of Sale (See instr. 3(f)) (MO. DAY YR.)
(g)
Name of Each
Securities
Exchange
(See instr. 3(g))
Broker-Dealer
File Number
Common Stock
JonesTrading Institutional Services LLC 32133 Lindero Canyon Road, Suite 208 Westlake Village. California 91361
  
900,000
 
$4,491,000
339,132,449
 
June 26, 2014
NYSE
               
               

 
 
INSTRUCTIONS:                                                                                     3. (a) Title of the class of securities to be sold
1. (a) Name of issuer                                                                                      (b) Name and address of each broker through whom the securities are intended to be sold
(b)  
Issuer’s I.R.S. Identification Number                                              (c) Number of shares or other units to be sold (if debt securities, give the aggregate face amount)
(c)  
Issuer’s S.E.C. file number, if any                                                    (d) Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice
(d)  
Issuer’s address, including zip code                                               (e) Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown
(e)  
Issuer’s telephone number, including area code                                 by the most recent report or statement published by the issuer
  
                              (f)  Approximate date on which the securities are to be sold
2. (a) Name of person for whose account the securities are to be sold (g) Name of each securities exchange, if any, on which the securities are intended to be sold
(b)  
Such person’s relationship to the issuer (e.g., officer, director, 10%
stockholder, or member of immediate family of any of the foregoing)
(c)  
Such person’s address, including zip code
 
Potential persons who are to 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 1147 (08-07)

 
 
 


 
TABLE I –– SECURITIES TO BE SOLD
 
Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:
Title of
the Class
Date you
Acquired
Nature of Acquisition Transaction
Name of Person from Whom Acquired
(If gift, also give date donor acquired)
Amount of
Securities Acquired
Date of
Payment
Nature of Payment
Common Stock
06/25/2014
Gift from Affiliate
Valhi Holding Company (acquired by Valhi Holding Company
prior to 12/31/2006)
900,000
N/A
Gift
 
 
 
    
 
 
 
 
 
    
 
 

 
 
INSTRUCTIONS:        If the securities were purchased and full payment therefor was not made in cash at
the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.
 
 
TABLE II –– SECURITIES SOLD DURING THE PAST 3 MONTHS
 
Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.
 
Name and Address of Seller
Title of Securities Sold
Date of Sale
Amount of
Securities Sold
Gross Proceeds
Harold Simmons Foundation
Harold Simmons Foundation
Harold Simmons Foundation
Harold Simmons Foundation
Harold Simmons Foundation
Harold Simmons Foundation
Harold Simmons Foundation
Harold Simmons Foundation
Harold Simmons Foundation
Harold Simmons Foundation
Harold Simmons Foundation
Common stock
Common stock
Common stock
Common stock
Common stock
Common stock
Common stock
Common stock
Common stock
Common stock
Common stock
6/11/2014
6/12/2014
6/13/2014
6/16/2014
6/17/2014
6/18/2014
6/19/2014
6/20/2014
6/23/2014
6/24/2014
6/25/2014  
  25,900
7,902
74,122
76,376
65,858
220,129
89,552
192,042
172,254
433,236
1,124,529
  $164,812
$44,928
$387,651
$391,465
$340,012
$1,121,887
$457,888
$974,306
$866,662
$2,169,863
$5,648,734

REMARKS:
 
INSTRUCTIONS:
See the definition of “person” in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
ATTENTION: The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
June 26, 2014
DATE OF NOTICE
 
DATE OF PLAN ADOPTION OR GIVING OF INSTRUCTION,
IF RELYING ON RULE 10B5-1
 
                                                          Harold Simmons Foundation, Inc.
 
                                                         By:/s/John A. St. Wrba    
                                                                (SIGNATURE)
                                                                                                 
                                                           John A. St. Wrba, Vice President
 
 
 

 
            The notice shall be signed by the person for whose account the securities are to be sold. At least
one copy of the notice shall be manually signed.Any copies not manually signed shall bear typed  or printed signatures.
 
 

 
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)