0001104659-14-072992.txt : 20141022 0001104659-14-072992.hdr.sgml : 20141022 20141022134535 ACCESSION NUMBER: 0001104659-14-072992 CONFORMED SUBMISSION TYPE: D PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b FILED AS OF DATE: 20141022 DATE AS OF CHANGE: 20141022 EFFECTIVENESS DATE: 20141022 FILER: 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: D SEC ACT: 1933 Act SEC FILE NUMBER: 021-226939 FILM NUMBER: 141167404 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 D 1 primary_doc.xml X0707 D LIVE 0001001171 BROADWAY FINANCIAL CORP \DE\ 5055 Wilshire Boulevard Suite 500 Los Angeles CA CALIFORNIA 90036 323-634-1700 DELAWARE None None Corporation true Kellogg Chan 5055 Wilshire Boulevard Suite 500 Los Angeles CA CALIFORNIA 90036 Director Robert C. Davidson, Jr. 5055 Wilshire Boulevard Suite 500 Los Angeles CA CALIFORNIA 90036 Director Paul C. Hudson 5055 Wilshire Boulevard Suite 500 Los Angeles CA CALIFORNIA 90036 Director Javier Leon 5055 Wilshire Boulevard Suite 500 Los Angeles CA CALIFORNIA 90036 Director Albert O. Maddox 5055 Wilshire Boulevard Suite 500 Los Angeles CA CALIFORNIA 90036 Director Daniel A. Medina 5055 Wilshire Boulevard Suite 500 Los Angeles CA CALIFORNIA 90036 Director Virgil Roberts 5055 Wilshire Boulevard Suite 500 Los Angeles CA CALIFORNIA 90036 Director Chairman of the Board Renata Simril 5055 Wilshire Boulevard Suite 500 Los Angeles CA CALIFORNIA 90036 Director Brenda J. Battey 5055 Wilshire Boulevard Suite 500 Los Angeles CA CALIFORNIA 90036 Executive Officer SVP/CFO Norman (Sandy) Bellefeuile 5055 Wilshire Boulevard Suite 500 Los Angeles CA CALIFORNIA 90036 Executive Officer SVP/CLO Wayne-Kent A. Bradshaw 5055 Wilshire Boulevard Suite 500 Los Angeles CA CALIFORNIA 90036 Executive Officer President/CEO/Director Ruth McCloud 5055 Wilshire Boulevard Suite 500 Los Angeles CA CALIFORNIA 90036 Executive Officer SVP/CRBO Other Banking and Financial Services $5,000,001 - $25,000,000 06b false 2014-10-16 false true false 0 Paul V. Hughes 1203259 BlackTorch Securities, LLC 103771 23505 Smithtown Road Suite 110 Excelsior MN MINNESOTA 55331 CA CALIFORNIA IL ILLINOIS MA MASSACHUSETTS MN MINNESOTA NY NEW YORK SD SOUTH DAKOTA TX TEXAS UT UTAH WA WASHINGTON 9900000 9712504 187496 8,829,549 shares of Common Stock sold at $1.10 per share true 1 24 388500 0 4% placement fee based on gross proceeds raised 0 No proceeds will be used for payments to any executive officer or director. No promoters were used. true BROADWAY FINANCIAL CORP \DE\ /s/ BRENDA BATTEY BRENDA BATTEY SVP/CFO 2014-10-21