0001181431-12-039788.txt : 20120705 0001181431-12-039788.hdr.sgml : 20120704 20120705164128 ACCESSION NUMBER: 0001181431-12-039788 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120702 FILED AS OF DATE: 20120705 DATE AS OF CHANGE: 20120705 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HUDSON PAUL C CENTRAL INDEX KEY: 0001206237 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27464 FILM NUMBER: 12948634 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 4 1 rrd350366.xml CHANGE IN BENEFICIAL OWNERSHIP X0306 4 2012-07-02 0 0001001171 BROADWAY FINANCIAL CORP \DE\ BYFC 0001206237 HUDSON PAUL C 4800 WILSHIRE BOULEVARD LOS ANGELES CA 90010 1 1 0 0 Chairman Common Stock 6453 D Common Stock 6453 D Common Stock 6192 D Common Stock Purcahse 2012-07-02 2012-07-02 4 P 0 19231 1.30 A 19231 D Stock Option (Right to Buy) 6.6800 2007-07-25 2012-07-25 Common Stock 29718 29718 D Employee Stock Ownership Plan Common Stock 16994 16994 D These shares are held in a Citigroup IRA under Paul Hudson. These shares are held in a Smith Barney IRA under Paul Hudson. These shares are held directly by Paul Hudson. These shares are held in the Employee Stock Ownership Plan (ESOP). When employee is no longer employees, then the shares become exercisable. On July 25, 2002 the Board of Directors granted 29,718 shares of Stock Options under the Long Term Incentive Plan. The stock price on that day was $6.6800 per share. The shares will vest in five (5) equal annual installments each year beginning the following year, on July 25. The options are fully exercisable on July 25, 2007 but if not exercised, expire on July 25, 2012 or upon termination of employment. On July 2, 2012, an investment of Capital was made in exchange for common stock. \s\ Daniele C. Johnson, Attorney-as-in-fact 2012-07-05