Filing Details

Accession Number:
0001181431-12-039683
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-07-05 14:53:00
Reporting Period:
2012-07-02
Filing Date:
2012-07-05
Accepted Time:
2012-07-05 14:53:00
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1001171 Broadway Financial Corp BYFC Savings Institution, Federally Chartered (6035) 954547287
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1219803 Jr C Robert Davidson 4800 Wilshire Boulevard
Los Angeles CA 90010
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Purchase Disposition 2012-07-02 19,231 $1.30 19,231 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option (Right to Buy) Acquisiton 2010-01-21 1,250 $6.00 1,250 $6.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
1,250 2010-01-21 2020-01-21 No 5 A Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 356 Direct
Common Stock 804 Direct
Common Stock 5,000 Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Stock Option (Right to Buy) $10.49 2008-03-19 2013-03-19 1,428 1,428 Direct
Common Stock Stock Option (Right to Buy) $4.00 2009-01-21 2019-01-21 1,875 1,875 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2013-03-19 1,428 1,428 Direct
2019-01-21 1,875 1,875 Direct
Footnotes
  1. Held in trust with Robert C. Davidson, Jr. as Trustee.
  2. Held directly in the name of Robert C. Davidson, Jr.
  3. Held in street name account of Robert C. Davidson, Jr.
  4. 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.
  5. 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.
  6. 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."