0001104659-15-074054.txt : 20151029 0001104659-15-074054.hdr.sgml : 20151029 20151029150329 ACCESSION NUMBER: 0001104659-15-074054 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151028 ITEM INFORMATION: Submission of Matters to a Vote of Security Holders FILED AS OF DATE: 20151029 DATE AS OF CHANGE: 20151029 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BROADWAY FINANCIAL CORP \DE\ CENTRAL INDEX KEY: 0001001171 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 954547287 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-27464 FILM NUMBER: 151183470 BUSINESS ADDRESS: STREET 1: 4800 WILSHIRE BLVD CITY: LOS ANGELES STATE: CA ZIP: 90010 BUSINESS PHONE: 2136341700 MAIL ADDRESS: STREET 1: 4800 WILSHIRE BLVD CITY: LOS ANGELES STATE: CA ZIP: 90010 8-K 1 a15-22012_18k.htm 8-K

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D. C. 20549

 

FORM 8-K

 

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the

Securities Exchange Act of 1934

 

Date of Report (Date of earliest event reported):  October 28, 2015

 

BROADWAY FINANCIAL CORPORATION

(Exact name of registrant as specified in its charter)

 

Delaware

 

000-27464

 

95-4547287

(State of Incorporation)

 

(Commission File Number)

 

(IRS Employer Identification No.)

 

5055 Wilshire Boulevard, Suite 500, Los Angeles, California

 

90036

(Address of Principal Executive Offices)

 

(Zip Code)

 

Registrant’s telephone number, including area code: (323) 634-1700

 

NOT APPLICABLE

(Former name or former address, if changed since last report)

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

o                      Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

o                      Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

o                      Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

o                      Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 

 



 

Item 5.07                   Submission of Matters to a Vote of Security Holders

 

The Annual Meeting of Stockholders of Broadway Financial Corporation (the “Company”) was held on October 28, 2015.  Only stockholders of record as of the close of business on September 14, 2015, the record date for the Annual Meeting, were entitled to vote at the Annual Meeting.  As of the record date, 21,405,188 shares of the Company’s voting stock were outstanding and entitled to vote at the Annual Meeting. The tabulation of the stockholder votes on each proposal brought before the Annual Meeting is as follows:

 

(1) To elect three directors to serve until the Annual Meeting to be held in the year 2018 or until their successors are elected and have been qualified.

 

The stockholders re-elected Wayne-Kent A. Bradshaw and Kellogg Chan and elected Erin Selleck to serve as directors for three-year terms.  The number of votes cast with respect to each of these persons was as follows:

 

 

 

For

 

Withheld

 

Wayne-Kent A. Bradshaw

 

18,392,256

 

262,279

 

Kellogg Chan

 

18,427,906

 

226,629

 

Erin Selleck

 

18,486,800

 

167,735

 

 

Broker non-votes with respect to this proposal were 1,447,186.

 

(2) To ratify the appointment of Moss Adams LLP as the Company’s independent registered public accounting firm for the year ending December 31, 2015.

 

The stockholders ratified the appointment of Moss Adams LLP as the Company’s independent registered public accounting firm for 2015, with 20,084,979 shares voting “for”, 54 shares voting “against” and 16,688 shares abstaining.

 

No broker non-votes were received with respect to this proposal.

 

(3) To cast an advisory (non-binding) vote on the Company’s executive compensation.

 

The stockholders approved the Company’s executive compensation, with 17,094,315 shares voting “for”, 1,438,576 shares voting “against” and 30,736 shares abstaining.

 

Broker non-votes with respect to this proposal were 1,447,186.

 

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SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

 

BROADWAY FINANCIAL CORPORATION

 

 

 

 

 

 

Date: October 29, 2015

By

/s/

Brenda J. Battey

 

 

 

Brenda J. Battey

 

 

 

Chief Financial Officer

 

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