-----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, MZpeP14sXRwCxFOLRDo5+/fTNnnG77qFSPCStvD14OanlqMUDwkPr9SEz0kC8l7Q +98viQL6Il0hYEpR/Ef8Mw== 0000891836-98-000585.txt : 19980907 0000891836-98-000585.hdr.sgml : 19980907 ACCESSION NUMBER: 0000891836-98-000585 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19980831 FILED AS OF DATE: 19980904 SROS: NYSE 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: 4 SEC ACT: SEC FILE NUMBER: 000-27464 FILM NUMBER: 98704216 BUSINESS ADDRESS: STREET 1: 4835 W VENICE BLVD CITY: LOS ANGELES STATE: CA ZIP: 90019 BUSINESS PHONE: 2139311886 MAIL ADDRESS: STREET 1: 4835 WEST VENICE BLVD CITY: LOS ANGELES STATE: CA ZIP: 90019 COMPANY DATA: COMPANY CONFORMED NAME: DELTEC INTERNATIONAL SA CENTRAL INDEX KEY: 0000941330 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 535 MADISON AVE - 26TH FLOOR STREET 2: C/O DELTEC ASSET MANAGEMENT CORP CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2122302963 MAIL ADDRESS: STREET 1: 535 MADISON AVE 26TH FLOOR STREET 2: C/O DELTEC ASSET MANAGEMENT CORP CITY: NEW YORK STATE: NY ZIP: 10022 4 1 FORM 4 :----------: : FORM 4 : :----------: U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20552 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 THIS BOX IF NO LONGER SUBJECT TO SECTION 16. FORM 4 OR FORM 5 OBLIGATIONS MAY CONTINUE. SEE INSTRUCTION 1(b). ================================================================================ 1. Name and Address of Reporting Person DELTEC INTERNATIONAL S.A. ----------------------------------------------------------------------------- (Last) (First) (Middle) DELTEC HOUSE, LYFORD CAY ----------------------------------------------------------------------------- (Street) NASSAU, BAHAMAS ----------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Issuer Name and Ticker or Trading Symbol BROADWAY FINANCIAL CORPORATION (BYFC) ================================================================================ 3. IRS or Social Security Number of Reporting Person (Voluntary) ================================================================================ 4. Statement for Month/Year AUGUST 1998 ================================================================================ 5. If Amendment, Date of Original (Month/Year) ================================================================================ 6. Relationship of Reporting Person to Issuer (Check all applicable) _____ Director __X_ 10% Owner _____ Officer (give title below) ____ Other (Specify below) ================================================================================ TABLE I-NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED
1.Title of Security 2.Trans- 3.Trans- 4.Securities Acquired (A) 5.Amount of 6.Ownership 7.Nature of (Instr. 3) action action or Disposed of (D) Securities Bene- Form: Direct Indirect Date Code (Instr. 3, 4 and 5) ficially Owned (D) or Beneficial (Month/ (Instr. 8) ------------------------ at End of Indirect (I) Ownership Day/ ------------ Amount (A) or Price Month (Instr. (Instr. 4) (Instr. 4) Year) Code V (D) 3 and 4) - ------------------- --------- ------------ ------------------------ ------------------ -------------- --------------- Common Stock 08/26/98 J* 17,268 A NA* (par value $0.01 per share) - ------------------------------------------------------------------------------------------------------------------------------------ 08/27/98 D** 0.94 D 9.10** - ------------------------------------------------------------------------------------------------------------------------------------ 08/31/98 A 1 A 9.875 233,130 3/4 I Through Subsidiary - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print or Type Responses) (Over)
FORM 4 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) 1. Title of Derivative Security (Instr. 3) --------------------------------------------------------------------------- --------------------------------------------------------------------------- ================================================================================ 2. Conversion or Exercise Price of Derivative Security --------------------------------------------------------------------------- --------------------------------------------------------------------------- ================================================================================ 3. Transaction Date (Month/Day/Year) --------------------------------------------------------------------------- --------------------------------------------------------------------------- ================================================================================ 4. Transaction Code (Instr. 8) Code V ------------------ ------------ --------------------------------------------------------------------------- --------------------------------------------------------------------------- ================================================================================ 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) (A) (D) ------------------ ------------ --------------------------------------------------------------------------- --------------------------------------------------------------------------- ================================================================================ 6. Date Exercisable and Expiration Date (Month/Day/Year) Date Exercisable Expiration Date ------------------------ ------------------------ --------------------------------------------------------------------------- --------------------------------------------------------------------------- ================================================================================ 7. Title and Amount of Underlying Securities (Instr. 3 and 4) Title Amount or Number of Shares ------------------ -------------------------- --------------------------------------------------------------------------- --------------------------------------------------------------------------- ================================================================================ 8. Price of Derivative Security (Instr. 5) --------------------------------------------------------------------------- --------------------------------------------------------------------------- ================================================================================ 9. Number of Derivative Securities Beneficially Owned at End of Month (Instr. 4) --------------------------------------------------------------------------- --------------------------------------------------------------------------- ================================================================================ ================================================================================ 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) --------------------------------------------------------------------------- --------------------------------------------------------------------------- ================================================================================ 11. Nature of Indirect Beneficial Ownership (Instr. 4) --------------------------------------------------------------------------- --------------------------------------------------------------------------- ================================================================================ Explanation of Responses: * 8% Stock dividend paid August 26, 1998. ** Cash in the amount of $8.55 was received in lieu of a 0.94 fractional share interest in connection with the stock dividend. *** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. SEE 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). DELTEC INTERNATIONAL S.A. By: /s/ Andre J. Feldman 09/03/98 -------------------------------- -------- ***Signature of Reporting Person Date Andre J. Feldman Vice President 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-----