Filing Details

Accession Number:
0001181431-10-007646
Form Type:
5
Zero Holdings:
No
Publication Time:
2010-02-09 12:00:00
Reporting Period:
2009-12-31
Filing Date:
2010-02-09
Accepted Time:
2010-02-09 14:38:22
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
1381559 Elrick Williams 4800 Wilshire Boulevard
Los Angeles CA 90010
Yes No No Yes
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 2009-01-22 2,100 $4.25 186,722 No 5 P Indirect By Williams Group Holding LLC
Common Stock Acquisiton 2009-02-13 295 $4.00 187,017 No 5 P Indirect By Williams Group Holding LLC
Common Stock Acquisiton 2009-02-20 2,500 $4.00 189,517 No 5 P Indirect By Williams Group Holding LLC
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 5 P Indirect By Williams Group Holding LLC
No 5 P Indirect By Williams Group Holding LLC
No 5 P Indirect By Williams Group Holding LLC
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option (Right to Buy) Acquisiton 2009-01-21 1,875 $4.00 1,875 $4.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
1,875 2009-01-21 2019-01-21 No 5 A Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 184,622 Indirect By Williams Group Holding LLC
Footnotes
  1. These are BYFC holdings by Williams Group Holdings as of 12-31-2008.
  2. The Common Stock may be exercised at any time, at the holder's election, and has no expiration date. The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person by Williams Group Holdings LLC on May 28, 2008.
  3. Mr. Elrick Williams is Chairman of Williams Group Holdings LLC. The reporting person disclaims beneficial ownership of the securities held by Williams Group Holdings LLC, except to the extent of his pecuniary interest therein.
  4. The Board of Directors granted this Stock Option on January 21, 2009 and will renew each year on January 21 or until the Board discontinues the annual grant. This is a stock option grant that vests upon granting.