-----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, QLJP6vGMjk5N2O1ZKfcoJt3Mfq8hTjcTcH4Jqn4NI8hs24MXmg2ukGBEuYbjYEpQ NSltFx987Q+ddRRF5BsRmg== 0000899078-03-000357.txt : 20030606 0000899078-03-000357.hdr.sgml : 20030606 20030606163231 ACCESSION NUMBER: 0000899078-03-000357 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20030604 FILED AS OF DATE: 20030606 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MITTE ROY F & JOANN COLE FOUNDATION CENTRAL INDEX KEY: 0001215080 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-04690 FILM NUMBER: 03736123 MAIL ADDRESS: STREET 1: 6836 BEE CAVES ROAD STREET 2: SUITE 262 CITY: AUSTIN STATE: TX ZIP: 78746 ISSUER: 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 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 4 1 form4_ex.xml X0101 4 2003-06-04 0 0000035733 FINANCIAL INDUSTRIES CORP FNIN 0001215080 MITTE ROY F & JOANN COLE FOUNDATION 0 0 1 0 Common Shares 2003-06-04 4 S 0 312484 14.64 D 1239722 D Common Shares 2003-06-04 4 S 0 204918 14.64 D 1034804 D This report is filed jointly by The Roy F. and Joann Cole Mitte Foundation (the "Foundation") and Roy F. Mitte. Sale made pursuant to that certain Compromise and Settlement Agreement (the "Settlement Agreement"), dated as of May 15, 2003, further described in the Schedule 13D filed by the Foundation on May 15, 2003. The reported securities are owned directly by the Foundation, and beneficially owned by Roy F. Mitte, Chairman of the Board of the Foundation. Sale made pursuant to Settlement Agreement. The reported securities are owned directly by the Foundation, and beneficially owned by Roy F. Mitte, Chairman of the Board of the Foundation. /s/ Roy F.Mitte, President 2003-06-04 EX-99 3 mitte.txt JOINT FILER INFORMATION Joint Filer Information Name: Roy F. Mitte Address: 6836 Bee Caves Road Austin, Texas 78746 Designated Filer: The Roy F. and Joann Cole Mitte Foundation Issuer and Ticker Symbol: Financial Industries Corp. (FNIN) Date of Event Requiring Statement: June 4, 2003 Signature: /s/ Roy F. Mitte --------------------------------- Roy F. Mitte -----END PRIVACY-ENHANCED MESSAGE-----