Filing Details
- Accession Number:
- 0001181431-12-040379
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2012-07-11 13:09:01
- Reporting Period:
- 2012-07-02
- Filing Date:
- 2012-07-11
- Accepted Time:
- 2012-07-11 13:09:01
- Original Submission Date:
- 2012-07-05
- 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 |
|---|---|---|---|---|---|---|---|
| 1208203 | O Albert Maddox | 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 | Acquisiton | 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 | 15,894 | 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) | $4.00 | 2009-01-21 | 2019-01-21 | 1,875 | 1,875 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2019-01-21 | 1,875 | 1,875 | Direct |
Footnotes
- These shares are held in the Albert Maddox and Deloise Maddox trust.
- This is a Stock Option Grant (Right to Buy) approved by the Board of Directors on January 21, 2009 and January 21, 2010. Fully vested 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 "Albert O. Maddox and Dorothy Deloise Maddox as Trustees U/D/T dated February 19, 1991.
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