0001181431-11-028089.txt : 20110509
0001181431-11-028089.hdr.sgml : 20110509
20110509141947
ACCESSION NUMBER: 0001181431-11-028089
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110121
FILED AS OF DATE: 20110509
DATE AS OF CHANGE: 20110509
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Williams Elrick
CENTRAL INDEX KEY: 0001381559
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-27464
FILM NUMBER: 11822691
MAIL ADDRESS:
STREET 1: C/O ALLSTON TRADING LLC
STREET 2: 440 S LASALLE ST, SUITE 1200
CITY: CHICAGO
STATE: IL
ZIP: 60605
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
4/A
1
rrd310923.xml
CHANGE IN BENEFICIAL OWNERSHIP
X0303
4/A
2011-01-21
2011-02-03
0
0001001171
BROADWAY FINANCIAL CORP \DE\
BYFC
0001381559
Williams Elrick
4800 WILSHIRE BOULEVARD
LOS ANGELES
CA
90010
1
0
0
1
employed by a 10% owner
Common Stock
189517
I
By Williams Group Holding LLC
Stock Option (Right to Buy)
6.00
2010-01-21
2020-01-21
Common Stock
1250
3125
D
Stock Option (Right to Buy)
4.00
2009-01-21
2019-01-21
Common Stock
1875
1875
D
These are BYFC holdings by Williams Group Holdings.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.
These are BYFC holdings by Williams Group Holdings.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.
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. The Board voted against granting this Stock Option Grant for January 21, 2011.
\s\ Daniele C. Johnson, Corporate Secretary, Attorney-as-in-fact
2011-05-09