0001181431-13-008017.txt : 20130208 0001181431-13-008017.hdr.sgml : 20130208 20130208170815 ACCESSION NUMBER: 0001181431-13-008017 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130208 DATE AS OF CHANGE: 20130208 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sarpong Sam CENTRAL INDEX KEY: 0001378388 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27464 FILM NUMBER: 13587750 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 5 1 rrd369660.xml ANNUAL STATEMENT OF OWNERSHIP X0306 5 2012-12-31 1 0 0 0001001171 BROADWAY FINANCIAL CORP \DE\ BYFC 0001378388 Sarpong Sam 4800 WILSHIRE BOULEVARD LOS ANGELES CA 90010 0 0 0 1 Not an employee Common Stock 3000 D Stock Option (Right to Buy) 13.1100 2009-04-21 2014-04-21 Common Stock 10000 10000 D Stock Option (Right to Buy) 10.2500 2011-05-24 2016-05-24 Common Stock 15000 15000 D Stock Option (Right to Buy) 5.9500 2013-10-22 2018-10-22 Common Stock 9000 12000 D Employee Stock Ownership Plan Common Stock 816 816 D These shares are held in the Company's Employee Stock Ownership Plan (ESOP). The shares become exercisable after employment with the company ceases. These shares are exercisable once employment with the company ceases. On April 21, 2004, 10,000 shares were granted from Long Term Incentive Plan with a stock price on that day of $13.1100. They will vest in five (5) equal annual installments on each following April 21. These will expire April 21, 2014. On May 24, 2006, 15,000 shares were granted from the Long Term Incentive Plan with a stock price on that day of $10.2500. They will vest in five (5) equal annual installments on each following May 24. These will expire May 24, 2016. On October 22, 2008, 15,000 shares were granted from the Long Term Incentive Plan with a stock price on that day of $5.9500. They will vest in five (5) equal annual installments on each following October 22. These will expire October 22, 2018. \s\ Daniele C. Johnson, Attorney-as-in-fact 2013-02-08