0000899078-05-000089.txt : 20120705 0000899078-05-000089.hdr.sgml : 20120704 20050204152750 ACCESSION NUMBER: 0000899078-05-000089 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20050204 DATE AS OF CHANGE: 20050204 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MITTE ROY F & JOANN COLE FOUNDATION CENTRAL INDEX KEY: 0001215080 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13G MAIL ADDRESS: STREET 1: 6836 BEE CAVES ROAD STREET 2: SUITE 262 CITY: AUSTIN STATE: TX ZIP: 78746 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: FINANCIAL INDUSTRIES CORP CENTRAL INDEX KEY: 0000035733 STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311] IRS NUMBER: 742126975 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-20581 FILM NUMBER: 05576990 BUSINESS ADDRESS: STREET 1: LEGAL DEPARTMENT STREET 2: 6500 RIVER PLACE BLVD., BUILDING ONE CITY: AUSTIN STATE: TX ZIP: 78730 BUSINESS PHONE: 512 404-5000 MAIL ADDRESS: STREET 1: 6500 RIVER PLACE BLVD., BUILDING ONE STREET 2: LEGAL DEPARTMENT CITY: AUSTIN STATE: TX ZIP: 78730 FORMER COMPANY: FORMER CONFORMED NAME: GOLDEN UNITED INVESTMENT CO STOCK PLAN DATE OF NAME CHANGE: 19731128 FORMER COMPANY: FORMER CONFORMED NAME: ILEX CORP DATE OF NAME CHANGE: 19730801 FORMER COMPANY: FORMER CONFORMED NAME: GOLDEN UNITED INVESTMENT CO DATE OF NAME CHANGE: 19730801 SC 13G 1 jan2005-schedule13g.txt SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Financial Industries Corporation ------------------------------------------------------------------------------ (Name of Issuer) Common Stock, par value $0.20 per share ------------------------------------------------------------------------------- (Title of Class of Securities) 317574101 ----------- (CUSIP Number) January 14, 2005 ------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [X] Rule 13d-1(c) [ ] Rule 13d-1(d) The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP No. 317574101 SCHEDULE 13G Page 2 of 9 Pages =============================================================================== 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON The Roy F. and Joann Cole Mitte Foundation, EIN 74-2766058 ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] ------------------------------------------------------------------------------- 3 SEC USE ONLY ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Texas ------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED BY 968,804 EACH ---------------------------------------------------- REPORTING PERSON 6 SHARED VOTING POWER WITH: 0 ---------------------------------------------------- 7 SOLE DISPOSITIVE POWER 968,804 ---------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 968,804 ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 9.98% ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON OO ------------------------------------------------------------------------------- CUSIP No. 317574101 SCHEDULE 13G Page 3 of 9 Pages =============================================================================== 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Roy F. Mitte ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] ------------------------------------------------------------------------------- 3 SEC USE ONLY ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America ------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED BY 0 EACH ---------------------------------------------------- REPORTING PERSON 6 SHARED VOTING POWER WITH: 968,804 ---------------------------------------------------- 7 SOLE DISPOSITIVE POWER 0 ---------------------------------------------------- 8 SHARED DISPOSITIVE POWER 968,804 ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 968,804 ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 9.98% ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON IN ------------------------------------------------------------------------------- CUSIP No. 317574101 SCHEDULE 13G Page 4 of 9 Pages =============================================================================== 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Joann Cole Mitte ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] ------------------------------------------------------------------------------- 3 SEC USE ONLY ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America ------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED BY 0 EACH ---------------------------------------------------- REPORTING PERSON 6 SHARED VOTING POWER WITH: 0 ---------------------------------------------------- 7 SOLE DISPOSITIVE POWER 0 ---------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0% ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON IN ------------------------------------------------------------------------------- CUSIP No. 317574101 SCHEDULE 13G Page 5 of 9 Pages =============================================================================== 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Scott Mitte ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] ------------------------------------------------------------------------------- 3 SEC USE ONLY ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America ------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED BY 64 EACH ---------------------------------------------------- REPORTING PERSON 6 SHARED VOTING POWER WITH: 0 ---------------------------------------------------- 7 SOLE DISPOSITIVE POWER 64 ---------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 64 ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0% ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON IN ------------------------------------------------------------------------------- CUSIP No. 317574101 SCHEDULE 13G Page 6 of 9 Pages =============================================================================== Item 1(a). Name of Issuer: Financial Industries Corporation Item 1(b). Address of Issuer's Principal Executive Offices: 6500 Riverplace Blvd., Building I Austin, Texas 78730 Item 2(a). Name of Person Filing. Item 2(b). Address of Principal Business Office or, if None, Residence. Item 2(c). Citizenship. The principal business office address of The Roy F. and Joann Cole Mitte Foundation and of Roy F. Mitte, Joann Cole Mitte and Scott Mitte is 1008 West Avenue, Austin, Texas 78701. The Foundation is a not-for-profit corporation organized under the laws of the State of Texas. Roy F. Mitte, Joann Cole Mitte and Scott Mitte are citizens of the United States of America. Item 2(d). Title of Class of Securities: Common Stock, par value $0.20 per share Item 2(e). CUSIP Number: 317574101 Item 3. If this statement is filed pursuant to ss.ss.240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: Not Applicable Item 4. Ownership. The following is information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1: (a) Amount beneficially owned: The Roy F. and Joann Cole Mitte Foundation: 968,804 shares of Common Stock Roy F. Mitte: 0 shares of Common Stock Joann Cole Mitte: 0 shares of Common Stock Scott Mitte: 64 shares of Common Stock CUSIP No. 317574101 SCHEDULE 13G Page 7 of 9 Pages =============================================================================== (b) Percent of Class: The Roy F. and Joann Cole Mitte Foundation: 9.98% Roy F. Mitte: 9.98% Joann Cole Mitte: 0% Scott Mitte: 0% (c) Number of shares as to which such person has: (i) sole power to vote or direct the vote: The Roy F. and Joann Cole Mitte Foundation: 968,804 Roy F. Mitte: 0 Joann Cole Mitte: 0 Scott Mitte: 64 (ii) shared power to vote or direct the vote: The Roy F. and Joann Cole Mitte Foundation: 0 Roy F. Mitte: 968,804 Joann Cole Mitte: 0 Scott Mitte: 0 (iii) sole power to dispose or direct the disposition of: The Roy F. and Joann Cole Mitte Foundation: 968,804 Roy F. Mitte: 0 Joann Cole Mitte: 0 Scott Mitte: 64 (iv) shared power to dispose or direct the disposition of: The Roy F. and Joann Cole Mitte Foundation: 0 Roy F. Mitte: 968,804 Joann Cole Mitte: 0 Scott Mitte: 0 Item 5. Ownership of Five Percent or Less of a Class. Not Applicable Item 6. Ownership of More than Five Percent on Behalf of Another Person. Not Applicable CUSIP No. 317574101 SCHEDULE 13G Page 8 of 9 Pages =============================================================================== Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company. Not Applicable Item 8. Identification and Classification of Members of the Group. Not Applicable Item 9. Notice of Dissolution of Group. Not Applicable Item 10. Certification. (b) By signing below, I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. CUSIP No. 317574101 SCHEDULE 13G Page 9 of 9 Pages =============================================================================== SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: January 27, 2005 The Roy F. and Joann Cole Mitte Foundation By: /s/Roy F. Mitte Name: Roy F. Mitte Title: President /s/ Roy F. Mitte Roy F. Mitte /s/ Joann Cole Mitte Joann Cole Mitte /s/ Scott Mitte Scott Mitte