Filing Details
- Accession Number:
- 0001181431-12-039660
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-07-05 14:02:13
- Reporting Period:
- 2012-07-02
- Filing Date:
- 2012-07-05
- Accepted Time:
- 2012-07-05 14:02:13
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1001171 | Broadway Financial Corp | BYFC | Savings Institution, Federally Chartered (6035) | 954547287 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1456220 | A. Wayne-Kent Bradshaw | 4800 Wilshire Boulevard Los Angeles CA 90010 | Chief Executive Officer/Presid | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2012-07-02 | 19,231 | $1.30 | 94,249 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Acquisiton | 2009-03-18 | 75,000 | $4.98 | 75,000 | $4.98 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 75,000 | 2014-03-18 | 2019-03-18 | No | 5 | A | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Ownership Plan | $0.00 | 18 | 18 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 18 | 18 | Direct |
Footnotes
- On March 18, 2009 the Board of Directors granted 75,000 shares of Stock Options under the Long Term Incentive Plan. The stock price on that day was $4.98 per share. The shares vest in five (5) equal annual installments each year beginning the following year, on March 18. The options are fully exercisable on March 18, 2014. If not exercised, the stock options will expire on March 18, 2019 or upon termination of employment.
- These shares are held in the Employee Stock Ownership Plan (ESOP). When employee is no longer with the company, the shares become exercisable.
- On July 2, 2012, an investment of Capital was made in exchange for common stock.
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