-----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, IkS+eIgyBnwYW5ILPe5kub+UjPfSxm6a1VNHeBMxH4NdxQY5fSCNaORLq8p65a0Q HZ5U5JRdO7RlLf3IiHakgA== 0001099343-11-000008.txt : 20110217 0001099343-11-000008.hdr.sgml : 20110217 20110217140059 ACCESSION NUMBER: 0001099343-11-000008 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20110217 DATE AS OF CHANGE: 20110217 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: 11620311 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FIRST OPPORTUNITY FUND INC CENTRAL INDEX KEY: 0000790202 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 133341573 STATE OF INCORPORATION: MD FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 2344 SPRUCE STREET STREET 2: SUITE A CITY: BOULDER STATE: CO ZIP: 80302 BUSINESS PHONE: 3034445483 MAIL ADDRESS: STREET 1: 2344 SPRUCE STREET STREET 2: SUITE A CITY: BOULDER STATE: CO ZIP: 80302 FORMER COMPANY: FORMER CONFORMED NAME: FIRST FINANCIAL FUND INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: FIRST SAVINGS & BANKING INSTITUTIONS FUND INC DATE OF NAME CHANGE: 19860402 SC 13G/A 1 sc13gbroadway_a9.htm SCHEDULE 13G/A BROADWAY FINANCIAL sc13gbroadway_a9.htm
 
 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
 
SCHEDULE 13G
 
 
Under the Securities Exchange Act of 1934
(Amendment No. 9)*
 

Broadway Financial Corporation.
(Name of Issuer)

Common Stock
(Title of Class of Securities)

111444105
(CUSIP Number)

December 31, 2010
(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
 
[X]
Rule 13d-1(b)
[   ]
Rule 13d-1(c)
[   ]
Rule 13d-1(d)
 
*The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
 
 
The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
 

 
 
 


CUSIP No. 111444105
 
   
1.
Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
 
First Opportunity Fund, Inc.
13-3341573
 
 
2.
Check the Appropriate Box if a Member of a Group (See Instructions)
   
(a)
  
   
(b)
  
 
 
3.
SEC Use Only
 
 
4.
Citizenship or Place of Organization          Maryland
 
Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
    
5.
Sole Voting Power:                    96,980
 
6.
Shared Voting Power:                        0
 
7.
Sole Dispositive Power:                    0
 
8.
Shared Dispositive Power:      96,980
 
 
9.
Aggregate Amount Beneficially Owned by Each Reporting Person.          96,980
 
 
10.
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
 
 
11.
Percent of Class Represented by Amount in Row (9)        5.56%
 
 
12.
Type of Reporting Person (See Instructions)    IV


 
 
 

SCHEUDLE 13G
Item 1.
 
(a)
Name of Issuer:  Broadway Financial Corporation
     
 
(b)
Address of Issuer's Principal Executive Offices:
4800 Wilshire Boulevard
Los Angeles, California  90010
 
Item 2.
 
(a)
Name of Person Filing:  First Opportunity Fund, Inc.
     
 
(b)
Address of Principal Business Office or, if none, Residence:
2344 Spruce Street, Suite A
Boulder, Colorado  80302
     
 
(c)
Citizenship:  Maryland
     
 
(d)
Title of Class of Securities:  Common Stock
     
 
(e)
CUSIP Number:  33587T108
 
Item 3.
Type of Person Filing Pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c):
     
   
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8).
 
Item 4.
Ownership.
     
 
(a)
Amount beneficially owned: First Opportunity Fund, Inc., a registered closed-end investment company, may be deemed the beneficial owner of 96,980 shares of common stock of the Issuer.
     
 
(b)
Percent of class: 5.56%
     
 
(c)
Voting and Dispositive Power:  First Opportunity Fund, Inc. has the sole power to vote or to direct the vote and shared power to dispose or to direct the disposition of 96,980 shares of common stock of the Issuer.  First Opportunity Fund, Inc. has shared power to vote or to direct the vote and sole power to dispose or to direct the disposition of 0 shares of common stock of the Issuer.
 
Item 5.
Ownership of Five Percent or Less of a Class
 
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [   ].
 
Item 6.
Ownership of More than Five Percent on Behalf of Another Person.
 
Not applicable.
 
Item 7.
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person.
 
Not applicable.
 
Item 8.
Identification and Classification of Members of the Group
 
Not applicable.
 
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 and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

 
SIGNATURE
 
 
 After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
 
 
Dated:  February 14, 2011
 
 
FIRST OPPORTUNITY FUND, INC.
 
 
By: /s/ Nicole Murphey   
 
Name:           Nicole Murphey
Title:             Vice President



 
 
 

-----END PRIVACY-ENHANCED MESSAGE-----