SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
________________________________
FORM 8-K
CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d)
OF THE SECURITIES EXCHANGE ACT OF 1934
Date of report (date of earliest event reported): June 24, 2004
FINANCIAL INDUSTRIES CORPORATION
(Exact name of Registrant as specified in charter)
Texas 0-4690 74-2126975
(State or other jurisdiction (Commission file number) (I.R.S. employer
of incorporation) identification no.)
6500 River Place Blvd., Building One
Austin, Texas 78730
(Address of principal executive offices)
________________________
Registrant's telephone number, including area code: (512) 404-5000
- 1 -
Item 5. Other Events
On June 29, 2004, the Company announced that it has received a letter from
Nasdaq informing it of the determination of the Nasdaq Listing Qualifications
Panel (the "Panel") regarding the Company's eligibility for continued listing on
The Nasdaq National Market. The Panel has determined that the continued listing
of the Company's securities on The Nasdaq National Market is subject to the
Company having filed, on or before June 30, 2004, its Form 10-K for the fiscal
year ended December 31, 2003, and its Form 10-Q for the quarter ended March 31,
2004.
Additional information concerning this matter is set forth in the Company's
press release dated June 29, 2004, a copy of which is attached as Exhibit 99.1
to this Form 8-K and incorporated herein by reference
Item 7. Financial Statements and Exhibits.
(c) Exhibits
Exhibit 99.1 * Press Release dated June 29, 2004.
* Filed herewith
As provided by the safe harbor provisions of the Private Securities Litigation
Reform Act of 1995, Financial Industries Corporation cautions that the
statements in this Form 8-K, including but not limited to, statements found in
Item 7 - "Financial Statements and Exhibits" relating to matters that are not
historical factual information are forward-looking statements that represent
management's belief and assumptions based on currently available information.
The information contained in this report, including those which may relate to
the filing of our financial statements for the year ended December 31, 2003, and
the quarter ended March 31, 2004, FIC's ability to become current on its
reporting obligations, FIC's ability to list on the National Quotation Bureau's
Pink Sheet quotation service, as well as other statements including words such
as "anticipate," "believe," "plan," "estimate," "expect," "intend," and other
similar expressions constitute forward-looking statements under the Private
Securities Litigation Reform Act of 1995. Such statements are made based upon
management's current expectations and beliefs concerning the financial results,
economic conditions and are subject to known and unknown risks, uncertainties
and other factors contemplated by the forward-looking statements, including
actions by Nasdaq and the results and timing of the Company's review relating to
its financial statements. Should one or more of these risks or uncertainties
materialize, or should underlying assumptions prove incorrect, actual results
may vary materially from those indicated. Investors should not place undue
reliance on forward-looking statements. Each forward-looking statement speaks
only as of the date of the particular statement, and the Company undertakes no
obligation to publicly update or revise any forward-looking statements. There
can be no assurance that other factors not currently anticipated by management
will not also materially and adversely affect the Company.
- 2 -
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the
Registrant has duly caused this report to be signed on its behalf by the
undersigned hereunto duly authorized.
FINANCIAL INDUSTRIES CORPORATION
Date: June 29, 2004 By: /s/ J. Bruce Boisture
President and Chief Executive Officer
- 3 -