0001179110-14-001520.txt : 20140130 0001179110-14-001520.hdr.sgml : 20140130 20140130123533 ACCESSION NUMBER: 0001179110-14-001520 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131231 FILED AS OF DATE: 20140130 DATE AS OF CHANGE: 20140130 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Bradshaw Wayne-Kent A. CENTRAL INDEX KEY: 0001456220 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27464 FILM NUMBER: 14559717 MAIL ADDRESS: STREET 1: 4800 WILSHIRE BOULEVARD CITY: LOS ANGELES STATE: CA ZIP: 90010 5 1 edgar.xml FORM 5 - X0306 5 2013-12-31 0 0 0 0001001171 BROADWAY FINANCIAL CORP \DE\ BYFC 0001456220 Bradshaw Wayne-Kent A. 5055 WILSHIRE BOULEVARD, SUITE 500 LOS ANGELES CA 90036 1 1 0 0 President/CEO Common Stock 19231 D Stock Option (Right to Buy) 4.98 2014-03-18 2019-03-18 Common Stock 75000 45000 D Employee Stock Ownership Plan Common Stock 98 98 D On March 18, 2009 the Board of Directors granted 75,000 shares of Stock Options under the Long Term Incentive Plan. The stock price on that day was $4.98 per share. The shares vest in five (5) equal annual installments each year beginning the following year, on March 18. The options are fully exercisable on March 18, 2014. If not exercised, the stock options will expire on March 18, 2019 or upon termination of employment. These shares are held in the Employee Stock Ownership Plan (ESOP). When employee is no longer with the company, the shares become exercisable. On July 2, 2012, an investment of Capital was made in exchange for common stock. Daniele C. Johnson, Attorney-as-in-fact 2014-01-30