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