-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, UE6F3J2GTFue1vXkt/q6hn7FfzRzPKiVvUI8vucz6MUlOtEIyiWRs6A18NEytDS8 uEidg0d0yzabgKDJP2e5CA== 0001051042-06-000007.txt : 20060209 0001051042-06-000007.hdr.sgml : 20060209 20060209151807 ACCESSION NUMBER: 0001051042-06-000007 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20060209 DATE AS OF CHANGE: 20060209 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: 06592749 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD CENTRAL INDEX KEY: 0001051042 IRS NUMBER: 382562340 STATE OF INCORPORATION: MI FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 111 CASS STREET CITY: TRAVERSE CITY STATE: MI ZIP: 49684 BUSINESS PHONE: 2319294500 MAIL ADDRESS: STREET 1: 111 CASS STREET CITY: TRAVERSE CITY STATE: MI ZIP: 49684 SC 13G 1 fnin13g2006.txt FINANCIAL INDUSTRIES UNITED STATES SECURITIES AND EXCHANGE COMMISSION " WASHINGTON, D.C. 20549" SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 FINANCIAL INDUSTRIES CORP - -------------------------------------------------- (NAME OF ISSUER) COMMON STOCK - -------------------------------------------------- (TITLE OF CLASS OF SECURITIES) 317574101 - -------------------------------------------------- (CUSIP NUMBER) 8-Feb-06 - -------------------------------------------------- (DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT) CHECK THE APPROPRIATE BOX TO DESIGNATE THE RULE PURSUANT TO WHICH THIS SCHEDULE IS FILED: {X} RULE 13D-1(B) { } RULE 13D-1(C) { } RULE 13D-1(D) *The remainder of this cover page shall be filled out for a reporting persons "initial filing on this form with respect to the subject class of securities," and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. 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.)" PAGE 1 OF 4 CUSIP NO. 317574101 SCHEDULE 13G PAGE 2 OF 4 (1) NAME AND IRS NUMBER OF REPORTING PERSONS " FINANCIAL & INVESTMENT MANAGEMENT GROUP, LTD. (#38-2562340)" (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP A.............{ } B.............{ } (3) SEC USE ONLY (4) CITIZENSHIP OR PLACE OF ORGANIZATION MICHIGAN NUMBER OF SHARES OF: (5) SOLE VOTING POWER NONE (6) SHARED VOTING POWER "643,797" (7) SOLE DISPOSITIVE POWER NONE (8) SHARED DISPOSITIVE POWER "643,797" (9) AGGREGATE AMOUNT BENEFICIALLY OWNED " 643,797 *SEE NOTE 1*" (10) CHECK IF AGGREGATE AMOUNT EXCEEDS CERTAIN SHARES { } (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.56% (12) TYPE OF REPORTING PERSON IA (14) CHECK THE APPROPRIATE BOX TO DESIGNATE THE RULE PURSUANT TO FILING {X} RULE 13D-1(b) { } RULE 13D-1(c) { } RULE 13D-1(d) CUSIP 317574101 SCHEDULE 13G PAGE 3 OF 4 ITEM 1 (A) NAME OF ISSUER FINANCIAL INDUSTRIES CORP. ITEM 1 (B) ADDRESS OF ISSUER "6500 RIVER PLACE BLVD, BLDG ONE" "AUSTIN, TX 78730" ITEM 2 (A) NAME OF PERSON FILING " FINANCIAL & INVESTMENT MANAGEMENT GROUP, LTD" ITEM 2 (B) ADDRESS OF PERSON FILING 111 CASS ST. " TRAVERSE CITY, MI. 49684" ITEM 2 (C) CITIZENSHIP MICHIGAN ITEM 2 (D) TITLE OF CLASS OF SECURITIES COMMON STOCK ITEM 2 (E) CUSIP NO. 317574101 ITEM 3 THIS STATEMENT IS BEING FILED BY AN INVESTMENT ADVISOR IN ACCORDANCE WITH RULE 13D-1(B)(1)(ii)(E). CUSIP 317574101 SCHEDULE 13G PAGE 4 OF 4 OWNERSHIP ITEM 4 (A) AMOUNT BENEFICIALLY OWNED " 643,797 * SEE NOTE 1 *" ITEM 4 (B) PERCENT OF CLASS 6.56% ITEM 4 (C) NUMBER OF SHARES: (i) SOLE POWER TO VOTE NONE (ii) SHARED POWER TO VOTE "643,797" (iii) SOLE POWER TO DISPOSE NONE (iv) SHARED POWER TO DISPOSE "643,797" ** NOTE 1 ** " FINANCIAL & INVESTMENT MANAGEMENT GROUP, LTD IS A REGISTERED INVESTMENT" " ADVISOR, MANAGING INDIVIDUAL CLIENT ACCOUNTS. ALL SHARES REPRESENTED" IN THIS REPORT ARE HELD IN ACCOUNTS OWNED BY THE CLIENTS OF FINANCIAL & " INVESTMENT MANAGEMENT GROUP, LTD. BECAUSE OF THIS, FINANCIAL &" " INVESTMENT MANAGEMENT GROUP, LTD DISCLAIMS BENEFICIAL OWNERSHIP." ITEM (5) OWNERSHIP OF LESS THAN FIVE PERCENT CHECK THE FOLLOWING BOX IF THE STATEMENT IS BEING FILED TO NOTIFY THAT THE OWNERSHIP IS NOW LESS THAN FIVE PERCENT { } ITEM (6) OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON ALL SHARES REPRESENTED IN THIS REPORT ARE OWNED BY ADVISORY " CLIENTS OF FINANCIAL & INVESTMENT MANAGEMENT GROUP, LTD" " NONE OF WHICH, TO OUR KNOWLEDGE, OWNS FIVE PERCENT OR MORE" OF THE CLASS. 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 " By signing below, I certify that, to the best of my knowledge" " and belief, the securities referred to above were acquired in" the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influecing the control of the issuer of such securities and were not acquired in the connection with or as a participant in any transaction having such purposes or effect. 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." 8-Feb-06 Drew A. Ahrens CCO -----END PRIVACY-ENHANCED MESSAGE-----