Filing Details
- Accession Number:
- 0001181431-12-039788
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-07-05 16:41:28
- Reporting Period:
- 2012-07-02
- Filing Date:
- 2012-07-05
- Accepted Time:
- 2012-07-05 16:41:28
- 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 |
|---|---|---|---|---|---|---|---|
| 1206237 | C Paul Hudson | 4800 Wilshire Boulevard Los Angeles CA 90010 | Chairman | Yes | 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 Purcahse | Acquisiton | 2012-07-02 | 19,231 | $1.30 | 19,231 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 6,453 | Direct | |
| Common Stock | 6,453 | Direct | |
| Common Stock | 6,192 | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | $6.68 | 2007-07-25 | 2012-07-25 | 29,718 | 29,718 | Direct |
| Common Stock | Employee Stock Ownership Plan | $0.00 | 16,994 | 16,994 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2012-07-25 | 29,718 | 29,718 | Direct |
| 16,994 | 16,994 | Direct |
Footnotes
- These shares are held in a Citigroup IRA under Paul Hudson.
- These shares are held in a Smith Barney IRA under Paul Hudson.
- These shares are held directly by Paul Hudson.
- These shares are held in the Employee Stock Ownership Plan (ESOP). When employee is no longer employees, then the shares become exercisable.
- On July 25, 2002 the Board of Directors granted 29,718 shares of Stock Options under the Long Term Incentive Plan. The stock price on that day was $6.6800 per share. The shares will vest in five (5) equal annual installments each year beginning the following year, on July 25. The options are fully exercisable on July 25, 2007 but if not exercised, expire on July 25, 2012 or upon termination of employment.
- On July 2, 2012, an investment of Capital was made in exchange for common stock.
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