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