-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, SNjdUxPgsvbj3levAfg+0W+37DBpkgBV0Jc6+PuZTEWGKXGMmvRG4fdH4s7acDne /4OugoH+nXU07WuWbscpdg== 0001181431-11-008764.txt : 20110209 0001181431-11-008764.hdr.sgml : 20110209 20110209183934 ACCESSION NUMBER: 0001181431-11-008764 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110209 DATE AS OF CHANGE: 20110209 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sarpong Sam CENTRAL INDEX KEY: 0001378388 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27464 FILM NUMBER: 11588663 MAIL ADDRESS: STREET 1: 4800 WILSHIRE BOULEVARD CITY: LOS ANGELES STATE: CA ZIP: 90010 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 5 1 rrd298583.xml ANNUAL STATEMENT OF OWNERSHIP X0303 5 2010-12-31 0 0 0 0001001171 BROADWAY FINANCIAL CORP \DE\ BYFC 0001378388 Sarpong Sam 4800 WILSHIRE BOULEVARD LOS ANGELES CA 90010 0 1 0 0 Chief Financial Officer Common Stock 2400 D Stock Option (Right to Buy) 13.1100 2009-04-21 2014-04-21 Common Stock 10000 10000 D Stock Option (Right to Buy) 10.2500 2011-05-24 2016-05-24 Common Stock 15000 15000 D Stock Option (Right to Buy) 5.9500 2013-10-22 2018-10-22 Common Stock 15000 15000 D Performance Equity Stock - Grant 10.25 2016-05-24 Common Stock 600 600 D Employee Stock Ownership Plan Common Stock 685 685 D These shares are held in the Company's Employee Stock Ownership Plan (ESOP). The shares become exercisable after employment with the company ceases. These shares were Granted from the Performance Equity Plan at the Board of Directors meeting, on 05/24/2006, 3000 shares of options were granted and are to vest in five (5) equal annual installments. At each installment, 600 shares of Restricted Stock are given to the employee. Currently 600 are remaining. These shares are exercisable once employment with the company ceases. On April 21, 2004, 10,000 shares were granted from Long Term Incentive Plan with a stock price on that day of $13.1100. They will vest in five (5) equal annual installments on each following April 21. These will expire April 21, 2014. On May 24, 2006, 15,000 shares were granted from the Long Term Incentive Plan with a stock price on that day of $10.2500. They will vest in five (5) equal annual installments on each following May 24. These will expire May 24, 2016. On October 22, 2008, 15,000 shares were granted from the Long Term Incentive Plan with a stock price on that day of $5.9500. They will vest in five (5) equal annual installments on each following October 22. These will expire October 22, 2018. \s\ Daniele C. Johnson, Attorney-as-in-fact 2011-02-09 -----END PRIVACY-ENHANCED MESSAGE-----