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
- These are BYFC holdings by Williams Group Holdings as of 12-31-2008.
- 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.
- 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.
- 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.