-----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, VO4fru5ExSyMlCOazuCtaHdlfd7lTXv8jCfZhdFY2axxhAN9BeM36AAF4WqVebv9 jmC9XIYS8cdSYJspW7TlqQ== 0000950123-97-000694.txt : 19970225 0000950123-97-000694.hdr.sgml : 19970225 ACCESSION NUMBER: 0000950123-97-000694 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970204 SROS: NONE 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: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-46823 FILM NUMBER: 97517029 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: DELTEC ASSET MANAGEMENT CORP/ CENTRAL INDEX KEY: 0000937906 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 135133790 STATE OF INCORPORATION: NY FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 535 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2122301400 MAIL ADDRESS: STREET 1: 535 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 SC 13G/A 1 AMENDMENT NO. 1 TO FORM SC 13G 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities and Exchange Act of 1934 (Amendment No. 1)* BROADWAY FINANCIAL CORP DEL ------------------------------------------------------------------------------ (Name of Issuer) COMMON STOCK ------------------------------------------------------------------------------ (Title of Class of Securities) 111444 10 5 ------------------------------------------------------------------------------ (CUSIP Number) Check the following box if a fee is being paid with this statement (X). (Continued on following page (s) ) (Page 1 of 6 Pages) 2 CUSIP NO. 111444 10 5 13G PAGE 2 OF 6 PAGES 1. NAME OF REPORTING PERSON Deltec Asset Management Corporation S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON I.R.S. NO. 13-5133790 2. CHECK APPROPRIATE BOX IF A MEMBER OF GROUP * (A)__ (B) X 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION State of New York 5. SOLE VOTING POWER 87,000 6. SHARED VOTING POWER -- 7. SOLE DISPOSITIVE POWER 87,000 8. SHARED DISPOSITIVE POWER -- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 87,000 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES * 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 9.74% 12. TYPE OF REPORTING PERSON* BD, IA, CO Page 2 of 6 3 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 10549 --------------------------------------------------------------------------- SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 ---------------------------------------------------------------------------- Item 1. (a) Name of Issuer: Broadway Financial Corp Del (b) Address of Issuer's Principal Executive Offices: 4835 West Venice Boulevard Los Angeles, CA 90019 Item 2. (a) Name of Person Filing: Deltec Asset Management Corporation (b) Address of Principal Business Office: 535 Madison Avenue New York, NY 10022 Page 3 of 6 4 Item 2. (c) Citizenship: State of New York (d) Title of Class of Securities: Common Stock (e) CUSIP Number: 111444 10 5 Item 3. If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b), check whether the person filing is a: (a) Broker Dealer registered under Section 15 of the Act (X) (b) Bank as defined in Section 3(a)(6) of the Act, (c) Insurance Company as defined in Section 3(a)(19) of the Act, (d) Investment Company registered under Section 8 of the Investment Company Act (e) Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940, (X) (f) Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see Rule 13d-1(b)(1)(ii)(F), (g) Parent Holding Company, in accordance with Rule 13d-1(b)(ii)(G) (h) Group, in accordance with Rule 13d-1(b)(1)(ii)(H) Item 4. Ownership (a). Amount Beneficially Owned: as of December 31, 1996, 60,000 shares (b) Percent of Class: 9.74% (c) Number of shares to which such person has: (i) sole power to vote or to direct to vote: As of December 31, 1996, 87,000 shares (ii) shared power to vote or to direct the vote: Not Applicable (iii) sole power to dispose or to direct the disposition of: As of December 31, 1996, 87,000 shares (iv) shared power to dispose or to direct the disposition of: Not Applicable Page 4 of 6 Pages 5 Item 5. Ownership of Five Percent or Less of a Class: Not Applicable. Item 6. Ownership of More Than Five Percent on Behalf of Another Person: All of the 87,000 shares of the Company's Common Stock referred to in Item 4 are held by Deltec for the account of its brokerage or investment advisory clients over whose accounts Deltec exercises discretionary authority as to voting, disposition and other matters. Such clients have the right to receive dividends and the proceeds of the sale of such shares. Item 7: Identification and Classification of Subsidiaries which Acquired the Security Being Reported on by the Parent Holding Company: Not Applicable. Item 8. Identification and Classification of Members of the Group: Not Applicable. Page 5 of 6 6 Item 9. Notice of Dissolution of Group: Not Applicable. Item 10. Certification By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. SIGNATURES After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement concerning the undersigned is true, complete and correct. Dated: January 20, 1997 DELTEC ASSET MANAGEMENT CORPORATION By /s/ Stephen Zuppello _________________________________________ Stephen Zuppello Chief Operating Officer Page 6 of 6 -----END PRIVACY-ENHANCED MESSAGE-----