-----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, N7RHtaj3JjWE44DxBweHgQLVjEST17m5DyGnp3KFifv4eQr0zFWJzR73DiU/N7nk lmtjWBU/xtdljGgf3lNg8Q== 0001005477-03-001412.txt : 20030519 0001005477-03-001412.hdr.sgml : 20030519 20030519170912 ACCESSION NUMBER: 0001005477-03-001412 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20030515 FILED AS OF DATE: 20030519 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: 03710953 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 edgar123.xml FORM 4 X0101 4 2003-05-15 0 0000035733 FINANCIAL INDUSTRIES CORP FNIN 0001215080 MITTE ROY F & JOANN COLE FOUNDATION 1 1 1 0 President Common Stock 2003-05-15 4 J 0 0 0 A 1552206 D Common Stock 2003-05-15 4 S 0 39820 14.64 D 0 D Common Stock 2003-05-15 4 S 0 35520 14.64 D 0 I ESOP Employee Stock Option (Right to buy) 8.18 2003-05-15 4 S 0 6600 8.18 D 2002-05-18 2003-11-01 Common Stock 6600 0 D The reported securities are owned by The Roy F. Mitte and Joann Cole Mitte Foundation (the "Foundation"). This report is being filed jointly by the Foundation, a 10% shareholder of Financial Industries Corporation ("FIC"), and Roy F. Mitte, an officer and director of FIC. The reported securities are owned directly by the Foundation and have been previously reported by it; the Foundation is not reporting any transaction in this report. The reported securities are owned directly by Roy F. Mitte; FIC is contractually obligated to identify the buyer for these shares on or before June 1, 2003. The reported securities are beneficially owned by Roy F. Mitte; FIC is contractually obligated to identify the buyer for these shares on or before June 1, 2003. These options are held by Roy F. Mitte and are being canceled by Mr. Mitte pursuant to an agreement by which FIC will pay Mr. Mitte $42,636 ($14.64 per share less the exercise price), less applicable withholding taxes. 2200 of these options became exercisable on May 18, 2000, 2200 became exercisable on May 18, 2001, and 2200 became exercisable on May 18, 2002. /s/ Roy F. Mitte, Director of Foundation 2003-05-19 EX-24 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: May 15, 2003 Signature: /s/ Roy F. Mitte --------------------------------- Roy F. Mitte -----END PRIVACY-ENHANCED MESSAGE-----