0001179110-14-001213.txt : 20140121 0001179110-14-001213.hdr.sgml : 20140120 20140121155736 ACCESSION NUMBER: 0001179110-14-001213 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131231 FILED AS OF DATE: 20140121 DATE AS OF CHANGE: 20140121 ISSUER: 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 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROBERTS VIRGIL P CENTRAL INDEX KEY: 0001208204 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27464 FILM NUMBER: 14538041 BUSINESS ADDRESS: STREET 1: C/O BROADWAY FEDERAL BANK STREET 2: 4800 WILSHIRE BLVD. CITY: LOS ANGELES STATE: CA ZIP: 90010 BUSINESS PHONE: 3235563231 MAIL ADDRESS: STREET 1: C/O BROADWAY FEDERAL BANK STREET 2: 4800 WILSHIRE BLVD. CITY: LOS ANGELES STATE: CA ZIP: 90010 5 1 edgar.xml FORM 5 - X0306 5 2013-12-31 0 0 0 0001001171 BROADWAY FINANCIAL CORP \DE\ BYFC 0001208204 ROBERTS VIRGIL P 5055 WILSHIRE BOULEVARD, SUITE 500 LOS ANGELES CA 90036 1 0 0 1 Chairman Common Stock 5806 D Common Stock 3917 D Common Stock Purchase 19231 D Stock Option (Right to Buy) 6.00 2010-01-21 2020-01-21 Common Stock 1250 1250 D Stock Option (Right to Buy) 4.00 2009-01-21 2019-01-21 Common Stock 1875 1875 D These shares are shares are held in the name of Virgil P. Roberts and Brenda Roberts, spouse. These Stock Options are a Right to Buy and vest upon granting. On July 2, 2012, an investment of Capital was made in exchange for common stock. The Shares are held in the name of "Virgil and Brenda Roberts Defined Benefit Pension Plan." Daniele C. Johnson, Attorney-as-in-fact 2014-01-21