0001181431-12-040384.txt : 20120711
0001181431-12-040384.hdr.sgml : 20120711
20120711131854
ACCESSION NUMBER: 0001181431-12-040384
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120702
FILED AS OF DATE: 20120711
DATE AS OF CHANGE: 20120711
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: DAVIDSON ROBERT C JR
CENTRAL INDEX KEY: 0001219803
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-27464
FILM NUMBER: 12957502
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/A
1
rrd350860.xml
CHANGE IN BENEFICIAL OWNERSHIP
X0306
4/A
2012-07-02
2012-07-05
0
0001001171
BROADWAY FINANCIAL CORP \DE\
BYFC
0001219803
DAVIDSON ROBERT C JR
4800 WILSHIRE BOULEVARD
LOS ANGELES
CA
90010
1
0
0
0
Common Stock
356
D
Common Stock
804
D
Common Stock
5000
D
Common Stock Purchase
2012-07-02
2012-07-02
4
P
0
19231
1.30
A
19231
D
Stock Option (Right to Buy)
6.00
2010-01-21
2010-01-21
5
A
0
1250
6.00
A
2010-01-21
2020-01-21
Common Stock
1250
1250
D
Stock Option (Right to Buy)
10.4900
2008-03-19
2013-03-19
Common Stock
1428
1428
D
Stock Option (Right to Buy)
4.00
2009-01-21
2019-01-21
Common Stock
1875
1875
D
Held in trust with Robert C. Davidson, Jr. as Trustee.
Held directly in the name of Robert C. Davidson, Jr.
Held in street name account of Robert C. Davidson, Jr.
On March 19, 2003 the Board of Directors granted 1,784 shares of Stock Options under the Stock Option Plan for Outside Directors. The stock price on that day was $10.4900 per share. The shares will vest in five (5) equal annual installments each year beginning the following year, on March 19. The options are fully exercisable on March 19, 2008 but if not exercised, expire on March 19, 2013 or upon termination of directorship. There are 1428 shares remaining to exercise.
The Board of Directors granted this Stock Option on January 21, 2009 and will renew each year on January 21 or until the Board discontinues the annual grant. This is a stock option grant that vests upon granting.
On July 2, 2012, an investment of Capital was made in exchange for common stock. The shares are held in the name of the "Robert and Alice Davidson Trust."
\s\ Daniele C. Johnson, Attorney-as-in-fact
2012-07-11