Filing Details

Accession Number:
0001437749-18-002230
Form Type:
13G Filing
Publication Date:
2018-02-12 15:50:46
Filed By:
Investors Heritage Capital Corp
Company:
Investors Heritage Capital Corp (OTCMKTS:IHRC)
Filing Date:
2018-02-12
SEC Url:
13G Filing
Ownership Summary

Please notice the below summary table is generated without human intervention and may contain errors. Please refer to the complete filing displayed below for exact figures.

Name Sole Voting Power Shared Voting Power Sole Dispositive Power Shared Dispositive Power Aggregate Amount Owned Power Percent of Class
Investors Heritage Life Insurance Company SS or 6 7 240,866 9 2 1 7.8%
HLW Investment Corporation SS or 140,620 1 140,620 1 2 3.4%
TAP Co. SS or 6 284,201 8 284,201 2 1%
Harry Lee Waterfield II SS or 68,748 229,961 68,748 4 39.9%
RoseGayle Waterfield Hardy SS or 2 198,961 2 198,961 1 6.4%
Nancy Waterfield Walton SS or 4 198,961 4 198,961 17.8%
HLW Corporation SS or 43,119 2 43,119 2 2 5.4 %
IHCC Employee Retirement Plan SS or 31,000 68,748 31,000 68,748
Filing

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D. C. 20549

 

 

SCHEDULE 13G

 

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT

TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED

PURSUANT TO RULE 13d-2

 

(Amendment No. 26)

 

 

INVESTORS HERITAGE CAPITAL CORPORATION

(Name of Issuer)

 

 

COMMON STOCK

(Title of Class of Securities)

 

 

461556 10 2

(CUSIP Number)

 

 

December 31, 2017

(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)

 

            [___]    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).

 

 
 

 

1)

Name of Reporting Person:

 

Investors Heritage Life Insurance Company

 

 

 

SS or IRS Identification No.: 61-0574893

 

 

2)

Check the Appropriate Box if a Member of a Group (See Instructions)

 

a) X

 

b)

 

 

3)

SEC USE ONLY

 

 

4)

Citizenship or Place of Organization: Kentucky

 

 

Number of Shares

 

Beneficially Owned

 

by Each Reporting

 

Person With

5) Sole Voting Power

 

 

 

6) Shared Voting Power

 

 

 

7) Sole Dispositive Power: 240,866.458

 

 

 

8) Shared Dispositive Power:

 

 

9)

Aggregate Amount Beneficially Owned by Each Reporting Person: 240,866.458

 

 

10)

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

 

11)

Percent of Class Represented by Amount in Row (9): 17.8%

 

 

12)

Type of Reporting Person (See Instructions): IC

 

 

 

Item 1.

 

 

 

(a)

Name of Issuer: Investors Heritage Capital Corporation

 

 

 

 

(b)

Address of Issuer's Principal Executive Offices:

 

 

200 Capital Avenue, Frankfort, Kentucky 40601

 

 

 

Item 2.

 

 

 

(a)

Name of Person Filing: Investors Heritage Life Insurance Company

 

 

 

 

(b)

Address of Principal Business Office or, if none, Residence:

 

 

200 Capital Avenue, Frankfort, Kentucky 40601

 

 
 

 

 

(c)

Citizenship: Kentucky

 

 

 

 

(d)

Title of Class of Securities: Common Stock $1 Par Value

 

 

 

 

(e)

CUSIP Number: 461556 10 2

 

 

 

Item 3.

 

If this statement is filed pursuant to Sections 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

 

 

 

 

(a)___

Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);

 

(b)___

Bank as defined in section 3(a)(6) of the Act 15 U.S.C. 78c);

 

(c)_X_

Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);

 

(d)___

An investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);

 

(e)___

Investment adviser in accordance with Section 240.13d-1(b)(1)(ii)(E);

 

(f)___

An employee benefit plan or endowment fund in accordance with Section 240.13d-1(b)(1)(ii)(F);

 

(g)___

A parent holding company or control person in accordance with section 240.13d-1(b)(ii)(G);

 

(h)___

A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

 

(i)___

A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act (15 U.S.C. 80a-3);

 

(j)___

A non-U.S. institution in accordance with Section 240.13d-1(b)(1)(ii)(J);

 

(k)___

Group, in accordance with section 240.13d-1(b)(1)(ii)(K).

 

 

 

 

 

If filing as a non-U.S. institution in accordance with Section 240.13d-1(b)(1)(ii)(J), please specify the type of institution: ________

 

 

 

Item 4.

 

Ownership

 

 

 

 

(a)

Amount Beneficially Owned: 240,866.458

 

 

 

 

(b)

Percent of Class: 17.8%

 

 

 

 

(c)

Number of Shares as to Which Such Person Has

 

 

 

 

(i)  

sole power to vote or to direct the vote: N/A

 

 

 

 

(ii)  

shared power to vote or to direct the vote: N/A

 

 
 

 

 

(iii)  

sole power to dispose or to direct the disposition of: 240,866.458

 

 

 

 

(iv)  

shared power to dispose or to direct the disposition of:

 

 

 

Item 5.

 

Ownership of Five Percent or Less of a Class: N/A

 

 

 

Item 6.

 

Ownership of More than Five Percent on Behalf of Another Person: N/A

 

 

 

Item 7.

 

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person: N/A

 

 

 

Item 8.

 

Identification and Classification of Members of the Group

 

 

(See Exhibit A attached hereto.)

 

 

 

Item 9.

 

Notice of Dissolution of Group: N/A

 

 

 

Item 10.

 

Certifications.

 

 

 

 

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and 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 securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

 

/s/Harry Lee Waterfield II

BY: Harry Lee Waterfield II

Chairman of the Board & President

Investors Heritage Life Insurance Company

 

February 12, 2018

Date

 

 
 

 

1)

Name of Reporting Person:

 

HLW Investment Corporation

 

 

 

SS or IRS Identification No.: 61-1014584

 

 

2)

Check the Appropriate Box if a Member of a Group (See Instructions)

 

a) X

 

b)

 

 

3)

SEC USE ONLY

 

 

4)

Citizenship or Place of Organization: Kentucky

 

 

Number of Shares

 

Beneficially Owned

 

by Each Reporting

 

Person With

5) Sole Voting Power: 140,620

 

 

 

6) Shared Voting Power: 176,315.025

 

 

 

7) Sole Dispositive Power: 140,620

 

 

 

8) Shared Dispositive Power: 176,315.025

 

 

9)

Aggregate Amount Beneficially Owned by Each Reporting Person (See Instructions): 316,935.02

 

 

10)

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

 

11)

Percent of Class Represented by Amount in Row (9): 23.4%

 

 

12)

Type of Reporting Person (See Instructions): CO

 

 

 

Item 1.

 

 

 

(a)

Name of Issuer: Investors Heritage Capital Corporation

 

 

 

 

(b)

Address of Issuer's Principal Executive Offices:

 

 

200 Capital Avenue, Frankfort, Kentucky 40601

 

 

 

Item 2.

 

 

 

(a)

Name of Person Filing: HLW Investment Corporation

 

 

 

 

(b)

Address of Principal Business Office or, if none, Residence:

 

 

200 Capital Avenue, Frankfort, Kentucky 40601

 

 
 

 

 

 

 

 

(c)

Citizenship: Kentucky

 

 

 

 

(d)

Title of Class of Securities: Common Stock $1 Par Value

 

 

 

 

(e)

CUSIP Number: 461556 10 2

 

 

 

Item 3.

 

If this statement is filed pursuant to Sections 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

 

 

 

 

(a)___

Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);

 

(b)___

Bank as defined in section 3(a)(6) of the Act 15 U.S.C. 78c);

 

(c)___

Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);

 

(d)___

An investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);

 

(e)___

Investment adviser in accordance with Section 240.13d-1(b)(1)(ii)(E);

 

(f)___

An employee benefit plan or endowment fund in accordance with Section 240.13d-1(b)(1)(ii)(F);

 

(g)___

A parent holding company or control person in accordance with section 240.13d-1(b)(ii)(G);

 

(h)___

A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

 

(i)___

A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act (15 U.S.C. 80a-3);

 

(j)___

A non-U.S. institution in accordance with Section 240.13d-1(b)(1)(ii)(J);

 

(k)___

Group, in accordance with section 240.13d-1(b)(1)(ii)(K).

 

 

 

 

 

If filing as a non-U.S. institution in accordance with Section 240.13d-1(b)(1)(ii)(J), please specify the type of institution: ______

 

 

 

Item 4.

 

Ownership

 

 

 

 

(a)

Amount Beneficially Owned: 316,935.02

 

 

 

 

(b)

Percent of Class: 23.4%

 

 

 

 

(c)

Number of Shares as to Which Such Person Has

 

 

 

 

(i)  

sole power to vote or to direct the vote: 140,620

 

 
 

 

 

(ii)  

shared power to vote or to direct the vote: 176,315.025

 

 

 

 

(iii)  

sole power to dispose or to direct the disposition of: 140,620

 

 

 

 

(iv)  

shared power to dispose or to direct the disposition of: 176,315.025

 

 

 

Item 5.

 

Ownership of Five Percent or Less of a Class: N/A

 

 

 

Item 6.

 

Ownership of More than Five Percent on Behalf of Another Person: N/A

 

 

 

Item 7.

 

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person: N/A

 

 

 

Item 8.

 

Identification and Classification of Members of the Group

 

 

(See Exhibit A attached hereto.)

 

 

 

Item 9.

 

Notice of Dissolution of Group: N/A

 

 

 

Item 10.

 

Certifications.

 

 

 

 

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and 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 securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

 

/s/Harry Lee Waterfield II

BY: Harry Lee Waterfield II

Chairman of the Board & CEO

HLW Investment Corp.

 

February 12, 2018

Date

 

 
 

 

1)

Name of Reporting Person:

 

TAP & Co.

 

 

 

SS or IRS Identification No.: 61-0733149

 

 

2)

Check the Appropriate Box if a Member of a Group (See Instructions)

 

a) X

 

b)

 

 

3)

SEC USE ONLY

 

 

4)

Citizenship or Place of Organization: Kentucky

 

 

Number of Shares

 

Beneficially Owned

 

by Each Reporting

 

Person With

5) Sole Voting Power

 

 

 

6) Shared Voting Power: 284,201.195

 

These shares are held for the benefit of employees who participate in the Employee Stock Ownership Plan and Deferred Comp Plan.

 

 

 

7) Sole Dispositive Power

 

 

 

8) Shared Dispositive Power: 284,201.195

 

The Custodian has the power, at the direction of the Administrator, to dispose of these shares by making distribution to beneficiaries in accordance with the plans.

 

 

9)

Aggregate Amount Beneficially Owned by Each Reporting Person (See Instructions): 284,201.195

 

 

10)

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

 

11)

Percent of Class Represented by Amount in Row (9): 21%

 

 

12)

Type of Reporting Person (See Instructions): EP

 

 Item 1.

 

 

 

(a)

Name of Issuer: Investors Heritage Capital Corporation

 

 

 

 

(b)

Address of Issuer's Principal Executive Offices:

 

 

200 Capital Avenue, Frankfort, Kentucky 40601

 

 
 

 

Item 2.

 

 

 

(a)

Name of Person Filing: TAP & CO.

 

 

 

 

(b)

Address of Principal Business Office or, if none, Residence:

 

 

200 Capital Avenue, Frankfort, Kentucky 40601

 

 

 

 

(c)

Citizenship: Kentucky

 

 

 

 

(d)

Title of Class of Securities: Common Stock $1 Par Value

 

 

 

 

(e)

CUSIP Number: 461556 10 2

 

 

 

Item 3.

 

If this statement is filed pursuant to Sections 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

 

 

 

 

(a)___

Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);

 

(b)___

Bank as defined in section 3(a)(6) of the Act 15 U.S.C. 78c);

 

(c)___

Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);

 

(d)___

An investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);

 

(e)___

Investment adviser in accordance with Section 240.13d-1(b)(1)(ii)(E);

 

(f) X  

An employee benefit plan or endowment fund in accordance with Section 240.13d-1(b)(1)(ii)(F);

 

g)___

A parent holding company or control person in accordance with section 240.13d-1(b)(ii)(G);

 

(h)___

A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

 

(i)___

A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act (15 U.S.C. 80a-3);

 

(j)___

A non-U.S. institution in accordance with Section 240.13d-1(b)(1)(ii)(J);

 

(k)___

Group, in accordance with section 240.13d-1(b)(1)(ii)(K).

 

 

 

 

 

If filing as a non-U.S. institution in accordance with Section 240.13d-1(b)(1)(ii)(J), please specify the type of institution: ______

 

 

 

Item 4.

 

Ownership

 

 

 

 

(a)

Amount Beneficially Owned: 284,201.195

 

 

 

 

(b)

Percent of Class: 21%

 

 
 

 

 

(c)

Number of Shares as to Which Such Person Has

 

 

 

 

(i)  

sole power to vote or to direct the vote:  N/A

 

 

 

 

(ii)  

shared power to vote or to direct the vote: 284,201.195

 

 

 

 

(iii)  

sole power to dispose or to direct the disposition of:  N/A

 

 

 

 

(iv)  

shared power to dispose or to direct the disposition of: 284,201.195

 

 

 

Item 5.

 

Ownership of Five Percent or Less of a Class: N/A

 

 

 

Item 6.

 

Ownership of More than Five Percent on Behalf of Another Person: N/A

 

 

TAP & CO., Trustee for Employee Benefit Plan receives dividends.

 

 

 

Item 7.

 

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person: N/A

 

 

 

Item 8.

 

Identification and Classification of Members of the Group

 

 

(See Exhibit A attached hereto.)

 

 

 

Item 9.

 

Notice of Dissolution of Group: N/A

 

 

 

Item 10.

 

Certifications.

 

 

 

 

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and 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 securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

 

/s/Keith Ballard

BY: Keith Ballard

Vice President 

TAP & CO. 

 

February 12, 2018

Date

 

 
 

 

1)

Name of Reporting Person:

 

Harry Lee Waterfield II

 

 

 

SS or IRS Identification No.: ###-##-####

 

 

2)

Check the Appropriate Box if a Member of a Group (See Instructions)

 

a) X

 

b)

 

 

3)

SEC USE ONLY

 

 

4)

Citizenship or Place of Organization: Kentucky

 

 

Number of Shares

 

Beneficially Owned

 

by Each Reporting

 

Person With

5) Sole Voting Power: 68,748.778

 

 

 

6) Shared Voting Power: 229,961.080

 

 

 

7) Sole Dispositive Power: 68,748.778

 

 

 

8) Shared Dispositive Power: 470,827.538

 

 

9)

Aggregate Amount Beneficially Owned by Each Reporting Person (See Instructions): 539,576.316

 

 

10)

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

 

11)

Percent of Class Represented by Amount in Row (9): 39.9%

 

 

12)

Type of Reporting Person (See Instructions): IN

 

 

 

Item 1.

 

 

 

(a)

Name of Issuer: Investors Heritage Capital Corporation

 

 

 

 

(b)

Address of Issuer's Principal Executive Offices:

 

 

200 Capital Avenue, Frankfort, Kentucky 40601

 

 

 

Item 2.

 

 

 

(a)

Name of Person Filing: Harry Lee Waterfield II

 

 

 

 

(b)

Address of Principal Business Office or, if none, Residence:

 

 

200 Capital Avenue, Frankfort, Kentucky 40601

 

 
 

 

 

(c)

Citizenship: Kentucky

 

 

 

 

d)

Title of Class of Securities: Common Stock $1 Par Value

 

 

 

 

(e)

CUSIP Number: 461556 10 2

 

 

 

Item 3.

 

If this statement is filed pursuant to Sections 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

 

 

 

 

(a)___

Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);

 

(b)___

Bank as defined in section 3(a)(6) of the Act 15 U.S.C. 78c);

 

(c)___

Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);

 

(d)___

An investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);

 

(e)___

Investment adviser in accordance with Section 240.13d-1(b)(1)(ii)(E);

 

(f)___

An employee benefit plan or endowment fund in accordance with Section 240.13d-1(b)(1)(ii)(F);

 

(g)___

A parent holding company or control person in accordance with section 240.13d-1(b)(ii)(G);

 

(h)___

A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

 

(i)___

A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act (15 U.S.C. 80a-3);

 

(j)___

A non-U.S. institution in accordance with Section 240.13d-1(b)(1)(ii)(J);

 

(k)___

Group, in accordance with section 240.13d-1(b)(1)(ii)(K).

 

 

 

 

 

If filing as a non-U.S. institution in accordance with Section 240.13d-1(b)(1)(ii)(J), please specify the type of institution: ________

 

 

 

Item 4.

 

Ownership

 

 

 

 

(a)

Amount Beneficially Owned: 539,576.316

 

 

 

 

(b)

Percent of Class: 39.9%

 

 

 

 

(c)

Number of Shares as to Which Such Person Has

 

 

 

 

(i)  

sole power to vote or to direct the vote: 68,748.778

 

 
 

 

 

 

 

 

(ii)  

shared power to vote or to direct the vote: 229,961.080

 

 

 

 

(iii)  

sole power to dispose or to direct the disposition of: 68,748.778

 

 

 

 

(iv)  

shared power to dispose or to direct the disposition of: 470,827.538

 

 

 

Item 5.

 

Ownership of Five Percent or Less of a Class: N/A

 

 

 

Item 6.

 

Ownership of More than Five Percent on Behalf of Another Person: N/A

 

 

 

Item 7.

 

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person: N/A

 

 

 

Item 8.

 

Identification and Classification of Members of the Group

 

 

(See Exhibit A attached hereto.)

 

 

 

Item 9.

 

Notice of Dissolution of Group: N/A

 

 

 

Item 10.

 

Certifications.

 

 

 

 

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and 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 securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

 

/s/Harry Lee Waterfield II

BY: Harry Lee Waterfield II

 

February 12, 2018

Date

 

 
 

 

1)

Name of Reporting Person:

 

RoseGayle Waterfield Hardy

 

 

 

SS or IRS Identification No.: ###-##-####

 

 

2)

Check the Appropriate Box if a Member of a Group (See Instructions)

 

a) X

 

b)

 

 

3)

SEC USE ONLY

 

 

4)

Citizenship or Place of Organization: Kentucky

 

 

Number of Shares

 

Beneficially Owned

 

by Each Reporting

 

Person With

5) Sole Voting Power: 22,962.712

 

 

 

6) Shared Voting Power: 198,961.08

 

 

 

7) Sole Dispositive Power: 22,962.712

 

 

 

8) Shared Dispositive Power: 198,961.08

 

 

9)

Aggregate Amount Beneficially Owned by Each Reporting Person (See Instructions): 221,923.792

 

 

10)

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

 

11)

Percent of Class Represented by Amount in Row (9): 16.4%

 

 

12)

Type of Reporting Person (See Instructions): IN

 

 

 

Item 1.

 

 

 

(a)

Name of Issuer: Investors Heritage Capital Corporation

 

 

 

 

(b)

Address of Issuer's Principal Executive Offices:

 

 

200 Capital Avenue, Frankfort, Kentucky 40601

 

 

 

Item 2.

 

 

 

(a)

Name of Person Filing: RoseGayle Waterfield Hardy

 

 

 

 

(b)

Address of Principal Business Office or, if none, Residence:

 

 

200 Capital Avenue, Frankfort, Kentucky 40601

 

 
 

 

 

(c)

Citizenship: Kentucky

 

 

 

 

(d)

Title of Class of Securities: Common Stock $1 Par Value

 

 

 

 

(e)

CUSIP Number: 461556 10 2

 

 

 

Item 3.

 

If this statement is filed pursuant to Sections 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

 

 

 

 

(a)___

Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);

 

(b)___

Bank as defined in section 3(a)(6) of the Act 15 U.S.C. 78c);

 

(c)___

Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);

 

(d)___

An investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);

 

(e)___

Investment adviser in accordance with Section 240.13d-1(b)(1)(ii)(E);

 

(f)___

An employee benefit plan or endowment fund in accordance with Section 240.13d-1(b)(1)(ii)(F);

 

(g)___

A parent holding company or control person in accordance with section 240.13d-1(b)(ii)(G);

 

(h)___

A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

 

(i)___

A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act (15 U.S.C. 80a-3);

 

(j)___

A non-U.S. institution in accordance with Section 240.13d-1(b)(1)(ii)(J);

 

(k)___

Group, in accordance with section 240.13d-1(b)(1)(ii)(K).

 

 

 

 

 

If filing as a non-U.S. institution in accordance with Section 240.13d-1(b)(1)(ii)(J), please specify the type of institution: ______

 

 

 

Item 4.

 

Ownership

 

 

 

 

(a)

Amount Beneficially Owned: 221,923.792

 

 

 

 

(b)

Percent of Class: 16.4%

 

 

 

 

(c)

Number of Shares as to Which Such Person Has

 

 

 

 

(i)  

sole power to vote or to direct the vote: 22,962.712

 

 
 

 

 

(ii)  

shared power to vote or to direct the vote: 198,961.08

 

 

 

 

(iii)  

sole power to dispose or to direct the disposition of: 22,962.712

 

 

 

 

(iv)  

shared power to dispose or to direct the disposition of: 198,961.08

 

 

 

Item 5.

 

Ownership of Five Percent or Less of a Class: N/A

 

 

 

Item 6.

 

Ownership of More than Five Percent on Behalf of Another Person: N/A

 

 

 

Item 7.

 

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person: N/A

 

 

 

Item 8.

 

Identification and Classification of Members of the Group

 

 

(See Exhibit A attached hereto.)

 

 

 

Item 9.

 

Notice of Dissolution of Group: N/A

 

 

 

Item 10.

 

Certifications.

 

 

 

 

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and 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 securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

 

/s/RoseGayle Waterfield Hardy

BY: RoseGayle Waterfield Hardy

 

February 12, 2018

Date

 

 
 

 

1)

Name of Reporting Person:

 

Nancy Waterfield Walton

 

 

 

SS or IRS Identification No.: ###-##-####

 

 

2)

Check the Appropriate Box if a Member of a Group (See Instructions)

 

a) X

 

b)

 

 

3)

SEC USE ONLY

 

 

4)

Citizenship or Place of Organization: Kentucky

 

 

Number of Shares

 

Beneficially Owned

 

by Each Reporting

 

Person With

5) Sole Voting Power: 41,484.455

 

 

 

6) Shared Voting Power: 198,961.1

 

 

 

7) Sole Dispositive Power: 41,484.455

 

 

 

8) Shared Dispositive Power: 198,961.1

 

 

9)

Aggregate Amount Beneficially Owned by Each Reporting Person (See Instructions): 240,445.535

 

 

10)

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

 

11)

Percent of Class Represented by Amount in Row (9): 17.8%

 

 

12)

Type of Reporting Person (See Instructions): IN

 

 

 

Item 1.

 

 

 

(a)

Name of Issuer: Investors Heritage Capital Corporation

 

 

 

 

(b)

Address of Issuer's Principal Executive Offices:

 

 

200 Capital Avenue, Frankfort, Kentucky 40601

 

 

 

Item 2.

 

 

 

(a)

Name of Person Filing: Nancy Waterfield Walton

 

 

 

 

(b)

Address of Principal Business Office or, if none, Residence:

 

 

200 Capital Avenue, Frankfort, Kentucky 40601

 

 
 

 

 

(c)

Citizenship: Kentucky

 

 

 

 

(d)

Title of Class of Securities: Common Stock $1 Par Value

 

 

 

 

(e)

CUSIP Number: 461556 10 2

 

 

 

Item 3.

 

If this statement is filed pursuant to Sections 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

 

 

 

 

(a)___

Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);

 

(b)___

Bank as defined in section 3(a)(6) of the Act 15 U.S.C. 78c);

 

(c)___

Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);

 

(d)___

An investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);

 

e)___

Investment adviser in accordance with Section 240.13d-1(b)(1)(ii)(E);

 

(f)___

An employee benefit plan or endowment fund in accordance with Section 240.13d-1(b)(1)(ii)(F);

 

(g)___

A parent holding company or control person in accordance with section 240.13d-1(b)(ii)(G);

 

(h)___

A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

 

(i)___

A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act (15 U.S.C. 80a-3);

 

(j)___

A non-U.S. institution in accordance with Section 240.13d-1(b)(1)(ii)(J);

 

(k)___

Group, in accordance with section 240.13d-1(b)(1)(ii)(K).

 

 

 

 

 

If filing as a non-U.S. institution in accordance with Section 240.13d-1(b)(1)(ii)(J), please specify the type of institution: ________

 

 

 

Item 4.

 

Ownership

 

 

 

 

(a)

Amount Beneficially Owned: 240,445.535

 

 

 

 

(b)

Percent of Class: 17.8%

 

 

 

 

(c)

Number of Shares as to Which Such Person Has

 

 

 

 

(i)  

sole power to vote or to direct the vote: 41,484.455

 

 

 

 

(ii)  

shared power to vote or to direct the vote: 198,961.1

 

 
 

 

 

(iii)  

sole power to dispose or to direct the disposition of: 41,484.455

 

 

 

 

(iv)  

shared power to dispose or to direct the disposition of: 198,961.1 

 

 

 

Item 5.

 

Ownership of Five Percent or Less of a Class: N/A

 

 

 

Item 6.

 

Ownership of More than Five Percent on Behalf of another Person: N/A

 

 

 

Item 7.

 

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person: N/A

 

 

 

Item 8.

 

Identification and Classification of Members of the Group

 

 

(See Exhibit A attached hereto.)

 

 

 

Item 9.

 

Notice of Dissolution of Group: N/A

 

 

 

Item 10.

 

Certifications.

 

 

 

 

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and 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 securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

 

/s/Nancy Waterfield Walton

BY: Nancy Waterfield Walton

 

February 12, 2018

Date

 

 
 

 

1)

Name of Reporting Person:

 

HLW Corporation

 

 

 

SS or IRS Identification No.: 61-0593515

 

 

2)

Check the Appropriate Box if a Member of a Group (See Instructions)

 

a) X

 

b)

 

 

3)

SEC USE ONLY

 

 

4)

Citizenship or Place of Organization: Kentucky

 

 

Number of Shares

 

Beneficially Owned

 

by Each Reporting

 

Person With

5) Sole Voting Power: 43,119.08

 

 

 

6) Shared Voting Power: 299,844.565

 

 

 

7) Sole Dispositive Power: 43,119.08

 

 

 

8) Shared Dispositive Power: 299,844.565

 

 

9)

Aggregate Amount Beneficially Owned by Each Reporting Person (See Instructions): 342,963.645

 

 

10)

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

 

11)

Percent of Class Represented by Amount in Row (9): 25.4 %

 

 

12)

Type of Reporting Person (See Instructions): CO

 

 

 

Item 1.

 

 

 

(a)

Name of Issuer: Investors Heritage Capital Corporation

 

 

 

 

(b)

Address of Issuer's Principal Executive Offices:

 

 

200 Capital Avenue, Frankfort, Kentucky 40601

 

 

 

Item 2.

 

 

 

(a)

Name of Person Filing: HLW Corporation

 

 

 

 

(b)

Address of Principal Business Office or, if none, Residence:

 

 

200 Capital Avenue, Frankfort, Kentucky 40601

 

 
 

 

 

(c)

Citizenship: Kentucky

 

 

 

 

(d)

Title of Class of Securities: Common Stock $1 Par Value

 

 

 

 

(e)

CUSIP Number: 461556 10 2

 

 

 

Item 3.

 

If this statement is filed pursuant to Sections 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

 

 

 

 

(a)___

Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);

 

(b)___

Bank as defined in section 3(a)(6) of the Act 15 U.S.C. 78c);

 

(c)___

Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);

 

(d)___

An investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);

 

(e)___

Investment adviser in accordance with Section 240.13d-1(b)(1)(ii)(E);

 

(f)___

An employee benefit plan or endowment fund in accordance with Section 240.13d-1(b)(1)(ii)(F);

 

(g)___

A parent holding company or control person in accordance with section 240.13d-1(b)(ii)(G);

 

(h)___

A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

 

(i)___

A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act (15 U.S.C. 80a-3);

 

(j)___

A non-U.S. institution in accordance with Section 240.13d-1(b)(1)(ii)(J);

 

(k)___

Group, in accordance with section 240.13d-1(b)(1)(ii)(K).

 

 

 

 

 

If filing as a non-U.S. institution in accordance with Section 240.13d-1(b)(1)(ii)(J), please specify the type of institution: ________

 

 

 

Item 4.

 

Ownership

 

 

 

 

(a)

Amount Beneficially Owned: 342,963.645

 

 

 

 

(b)

Percent of Class: 25.4%

 

 

 

 

(c)

Number of Shares as to Which Such Person Has

 

 

 

 

(i)  

sole power to vote or to direct the vote: 43,119.08

 

 

 

 

(ii)  

shared power to vote or to direct the vote: 299,844.565

 

 
 

 

 

(iii)  

sole power to dispose or to direct the disposition of: 43,119.08

 

 

 

 

(iv)  

shared power to dispose or to direct the disposition of: 299,844.565

 

 

 

Item 5.

 

Ownership of Five Percent or Less of a Class: N/A

 

 

 

Item 6.

 

Ownership of More than Five Percent on Behalf of Another Person: N/A

 

 

 

Item 7.

 

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person: N/A

 

 

 

Item 8.

 

Identification and Classification of Members of the Group

 

 

(See Exhibit A attached hereto.)

 

 

 

Item 9.

 

Notice of Dissolution of Group: N/A

 

 

 

Item 10.

 

Certifications.

 

 

 

 

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and 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 securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

 

/s/Harry Lee Waterfield II

BY: Harry Lee Waterfield II

Chairman of the Board & President

HLW Corporation

 

February 12, 2018

Date

 

 
 

 

1)

Name of Reporting Person:

 

IHCC Employee Retirement Plan

 

 

 

SS or IRS Identification No.: 51-0166656

 

 

2)

Check the Appropriate Box if a Member of a Group (See Instructions)

 

a) X

 

b)

 

 

3)

SEC USE ONLY

 

 

4)

Citizenship or Place of Organization: Kentucky

 

 

Number of Shares

 

Beneficially Owned

 

by Each Reporting

 

Person With

5) Sole Voting Power:  31,000

 

 

 

6) Shared Voting Power: 68,748.778

 

These shares are held for the benefit of employees who participate in the Employee Retirement Plan.

 

 

 

7) Sole Dispositive Power:  31,000

 

 

 

8) Shared Dispositive Power:  68,748.778

 

 

9)

Aggregate Amount Beneficially Owned by Each Reporting Person (See Instructions): 99,748.778

 

 

10)

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

 

11)

Percent of Class Represented by Amount in Row (9): 7.4%

 

 

12)

Type of Reporting Person (See Instructions): EP

 

 

 

Item 1.

 

 

 

(a)

Name of Issuer: Investors Heritage Capital Corporation

 

 

 

 

(b)

Address of Issuer's Principal Executive Offices:

 

 

200 Capital Avenue, Frankfort, Kentucky 40601

 

 

 

Item 2.

 

 

 

(a)

Name of Person Filing: IHCC Employee Retirement Plan

 

 
 

 

 

(b)

Address of Principal Business Office or, if none, Residence:

 

 

200 Capital Avenue, Frankfort, Kentucky 40601

 

 

(c)

Citizenship: Kentucky

 

 

 

 

(d)

Title of Class of Securities: Common Stock $1 Par Value

 

 

 

 

(e)

CUSIP Number: 461556 10 2

 

 

 

Item 3.

 

If this statement is filed pursuant to Sections 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

 

 

 

 

(a)___

Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);

 

(b)___

Bank as defined in section 3(a)(6) of the Act 15 U.S.C. 78c);

 

(c)___

Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);

 

(d)___

An investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);

 

(e)___

Investment adviser in accordance with Section 240.13d-1(b)(1)(ii)(E);

 

(f) X  

An employee benefit plan or endowment fund in accordance with Section 240.13d-1(b)(1)(ii)(F);

 

(g)___

A parent holding company or control person in accordance with section 240.13d-1(b)(ii)(G);

 

(h)___

A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

 

(i)___

A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act (15 U.S.C. 80a-3);

 

(j)___

A non-U.S. institution in accordance with Section 240.13d-1(b)(1)(ii)(J);

 

(k)___

Group, in accordance with section 240.13d-1(b)(1)(ii)(K).

 

 

 

 

 

If filing as a non-U.S. institution in accordance with Section 240.13d-1(b)(1)(ii)(J), please specify the type of institution: _________

 

 

 

Item 4.

 

Ownership

 

 

 

 

(a)

Amount Beneficially Owned: 99,748.778

 

 

 

 

(b)

Percent of Class: 7.4%

 

 

 

 

(c)

Number of Shares as to Which Such Person Has

 

 

 

 

(i)  

sole power to vote or to direct the vote:  31,000

 

 
 

 

 

(ii)  

shared power to vote or to direct the vote: 68,748.778

 

 

(iii)  

sole power to dispose or to direct the disposition of:  31,000

 

 

 

 

(iv)  

shared power to dispose or to direct the disposition of: 68,748.778

 

 

 

Item 5.

 

Ownership of Five Percent or Less of a Class: N/A

 

 

 

Item 6.

 

Ownership of More than Five Percent on Behalf of Another Person: N/A

 

 

 

Item 7.

 

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person: N/A

 

 

 

Item 8.

 

Identification and Classification of Members of the Group

 

 

(See Exhibit A attached hereto.)

 

 

 

Item 9.

 

Notice of Dissolution of Group: N/A

 

 

 

Item 10.

 

Certifications.

 

 

 

 

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and 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 securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

 

/s/Thomas Bookout

BY: Thomas Bookout, Administrator

IHCC Employee Retirement Plan Committee

 

February 12, 2018

Date

 

 
 

 

EXHIBIT A

 

Members of the Group

 

 

1. Investors Heritage Life Insurance Company

 

2. HLW Investment Corporation

 

3. TAP & CO.

 

4. Harry Lee Waterfield II

 

5. RoseGayle Waterfield Hardy

 

6. Nancy Waterfield Walton

 

7. HLW Corporation

 

8. IHCC Employee Retirement Plan