0001181431-13-007995.txt : 20130208 0001181431-13-007995.hdr.sgml : 20130208 20130208163508 ACCESSION NUMBER: 0001181431-13-007995 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130208 DATE AS OF CHANGE: 20130208 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROBERTS VIRGIL P CENTRAL INDEX KEY: 0001208204 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27464 FILM NUMBER: 13587383 BUSINESS ADDRESS: STREET 1: C/O BROADWAY FEDERAL BANK STREET 2: 4800 WILSHIRE BLVD. CITY: LOS ANGELES STATE: CA ZIP: 90010 BUSINESS PHONE: 3235563231 MAIL ADDRESS: STREET 1: C/O BROADWAY FEDERAL BANK STREET 2: 4800 WILSHIRE BLVD. CITY: LOS ANGELES STATE: CA ZIP: 90010 5 1 rrd369654.xml ANNUAL STATEMENT OF BENEFICIAL OWNERSHIP X0306 5 2012-12-31 0 0 0 0001001171 BROADWAY FINANCIAL CORP \DE\ BYFC 0001208204 ROBERTS VIRGIL P 4800 WILSHIRE BOULEVARD LOS ANGELES CA 90010 1 0 0 0 Common Stock 5806 D Common Stock 3917 D Common Stock Purchase 19231 D Stock Option (Right to Buy) 6.00 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 shares are held in the name of Virgil P. Roberts and Brenda Roberts, spouse. These Stock Options, Right to Buy vest in five equal installments, each year on January 21. On July 2, 2012, an investment of Capital was made in exchange for common stock. The Shares are held in the name of "Virgil and Brenda Roberts Defined Benefit Pension Plan." \s\ Daniele C. Johnson, Attorney-as-in-fact 2013-07-08