0001181431-12-039672.txt : 20120705 0001181431-12-039672.hdr.sgml : 20120704 20120705142804 ACCESSION NUMBER: 0001181431-12-039672 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: MADDOX ALBERT O CENTRAL INDEX KEY: 0001208203 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27464 FILM NUMBER: 12947908 MAIL ADDRESS: STREET 1: C/O BROADWAY FEDERAL BANK STREET 2: 4800 WILSHIRE BLVD. 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 rrd350368.xml CHANGE IN BENEFICIAL OWNERSHIP X0306 4 2012-07-02 0 0001001171 BROADWAY FINANCIAL CORP \DE\ BYFC 0001208203 MADDOX ALBERT O 4800 WILSHIRE BOULEVARD LOS ANGELES CA 90010 1 0 0 0 Common Stock 15894 D Common Stock Purchase 2012-07-02 2012-07-02 4 P 0 19231 1.30 D 19231 D Stock Option (Right to Buy) 6.00 2010-01-21 2010-01-21 5 A 0 1250 6.00 A 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 held in the Albert Maddox and Deloise Maddox trust. This is a Stock Option Grant (Right to Buy) approved by the Board of Directors on January 21, 2009 and January 21, 2010. Fully vested 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 "Albert O. Maddox and Dorothy Deloise Maddox as Trustees U/D/T dated February 19, 1991. \s\ Daniele C. Johnson, Attorney-as-in-fact 2012-07-05