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