0001181431-12-039660.txt : 20120705
0001181431-12-039660.hdr.sgml : 20120704
20120705140213
ACCESSION NUMBER: 0001181431-12-039660
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120702
FILED AS OF DATE: 20120705
DATE AS OF CHANGE: 20120705
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Bradshaw Wayne-Kent A.
CENTRAL INDEX KEY: 0001456220
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-27464
FILM NUMBER: 12947817
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
4
1
rrd350372.xml
CHANGE IN BENEFICIAL OWNERSHIP
X0306
4
2012-07-02
0
0001001171
BROADWAY FINANCIAL CORP \DE\
BYFC
0001456220
Bradshaw Wayne-Kent A.
4800 WILSHIRE BOULEVARD
LOS ANGELES
CA
90010
0
1
0
0
Chief Executive Officer/Presid
Common Stock
2012-07-02
2012-07-02
4
P
0
19231
1.30
A
94249
D
Stock Option (Right to Buy)
4.98
2009-03-18
2009-03-18
5
A
0
75000
4.98
A
2014-03-18
2019-03-18
Common Stock
75000
75000
D
Employee Stock Ownership Plan
Common Stock
18
18
D
On March 18, 2009 the Board of Directors granted 75,000 shares of Stock Options under the Long Term Incentive Plan. The stock price on that day was $4.98 per share. The shares vest in five (5) equal annual installments each year beginning the following year, on March 18. The options are fully exercisable on March 18, 2014. If not exercised, the stock options will expire on March 18, 2019 or upon termination of employment.
These shares are held in the Employee Stock Ownership Plan (ESOP). When employee is no longer with the company, the shares become exercisable.
On July 2, 2012, an investment of Capital was made in exchange for common stock.
\s\ Daniele C. Johnson, Attorney-as-in-fact
2012-07-05