-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, GttWbuCPSD16mFErxrl9aU0GDTjVD0XyfCCnDkRP4HvVkLjeDsJ3tMRqGgc+U1GM SSYKwvw6UYkTja7exRYxlA== 0001206237-03-000002.txt : 20030214 0001206237-03-000002.hdr.sgml : 20030214 20030214105210 ACCESSION NUMBER: 0001206237-03-000002 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021231 FILED AS OF DATE: 20030214 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: HUDSON PAUL C CENTRAL INDEX KEY: 0001206237 RELATIONSHIP: DIRECTOR FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: 4800 WILSHIRE BLVD. CITY: LOS ANGELES STATE: CA ZIP: 90010 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27464 FILM NUMBER: 03563563 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 hudsonform502.txt PAUL HUDSON FORM 5 2002 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 5 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 [_] Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). [_] Form 3 Holdings Reported [_] Form 4 Transactions Reported - -------------------------------------------------------------------------------- 1. Name and Address of Reporting Person* Hudson, Paul C. - -------------------------------------------------------------------------------- (Last) (First) (Middle) 901 South Longwood - -------------------------------------------------------------------------------- (Street) Los Angeles, California 90019 - -------------------------------------------------------------------------------- (City) (State) (Zip) - -------------------------------------------------------------------------------- 2. Issuer Name and Ticker or Trading Symbol Broadway Financial Corporation (BYFC) - -------------------------------------------------------------------------------- 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) - -------------------------------------------------------------------------------- 4. Statement for Month/Year December 2002 - -------------------------------------------------------------------------------- 5. If Amendment, Date of Original (Month/Year) - -------------------------------------------------------------------------------- 6. Relationship of Reporting Person to Issuer (Check all applicable) [X] Director [_] 10% Owner [X] Officer (give title below) [_] Other (specify below) President/Chief Executive Officer - ------------------------------------------------------------------------ 7. Individual or Joint/Group Filing (Check applicable line) [X] Form filed by one Reporting Person [_] Form filed by more than one Reporting Person - -------------------------------------------------------------------------------- ================================================================================ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ================================================================================
5. 6. 4. Amount of Owner- Securities Acquired (A) or Securities ship Disposed of (D) Beneficially Form: 7. (Instr. 3, 4 and 5) Owned at End Direct Nature of 2. 3. ----------------------------- of Issuer's (D) or Indirect 1. Transaction Transaction (A) Fiscal Year Indirect Beneficial Title of Security Date Code Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) (Instr. 8) (D) and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 19470 D - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
* If the form is filed by more than one Reporting Person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print or Type Responses) (Over) FORM 5 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
9. 10. Number Owner- of ship 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or Derivative 6. of Underlying 8. ities Secur- of Exer- Securities Date Securities Price Bene- ity: In- cise 3. Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- 4. or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Trans- of (D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date action (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ Code 4 and 5) Date Expira- Number ity Year (I) ship Security Secur- Day/ (Instr. ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) 8) (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ Stock Option $6.68 07/25/02 A 5943 07/25/03 07/25/12 - ------------------------------------------------------------------------------------------------------------------------------------ Stock Option $6.68 07/25/02 A 5945 07/25/04 07/25/12 - ------------------------------------------------------------------------------------------------------------------------------------ Stock Option $6.68 07/25/02 A 5945 07/25/05 07/25/12 - ------------------------------------------------------------------------------------------------------------------------------------ Stock Option $6.68 07/25/02 A 5945 07/25/06 07/25/12 - ------------------------------------------------------------------------------------------------------------------------------------ Stock Option $6.68 07/25/02 A 5945 07/25/07 07/25/12 - ------------------------------------------------------------------------------------------------------------------------------------ Stock Grant $6.68 07/25/02 A 489 07/25/03 07/25/12 - ------------------------------------------------------------------------------------------------------------------------------------ Stock Grant $6.68 07/25/02 A 490 07/25/04 07/25/12 - ----------------------------------------------------------------------------------------------------------------------------------- Stock Grant $6.68 07/25/02 A 489 07/25/05 07/25/12 - ------------------------------------------------------------------------------------------------------------------------------------ Stock Grant $6.68 07/25/02 A 490 07/25/06 07/25/12 - ------------------------------------------------------------------------------------------------------------------------------------ Stock Grant $6.68 07/25/02 A 490 07/25/07 07/25/12 - ------------------------------------------------------------------------------------------------------------------------------------ Stock Option $4.34 11/15/00 A 1129 11/15/03 11/15/10 - ------------------------------------------------------------------------------------------------------------------------------------ Stock Option $4.34 11/15/00 A 1130 11/15/04 11/15/10 - ------------------------------------------------------------------------------------------------------------------------------------ Stock Option $4.34 11/15/00 A 1130 11/15/05 11/15/10 - ------------------------------------------------------------------------------------------------------------------------------------ Stock Option $4.34 11/15/00 A 2259 11/15/02 11/15/10 - ------------------------------------------------------------------------------------------------------------------------------------ Stock Option $5.50 09/17/07 A 35708 09/17/02 09/17/07 - ------------------------------------------------------------------------------------------------------------------------------------ Stock Option $5.50 09/17/07 A 8926 09/17/02 09/17/07 - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: 02/14/03 - --------------------------------------------- ----------------------- **Signature of Reporting Person Date ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. Page 2 -----END PRIVACY-ENHANCED MESSAGE-----