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BROADWAY FINANCIAL CORP \DE\ — Director's Dealing 2011
Feb 10, 2011
34433_dirs_2011-02-09_6d297e18-8ad1-4bc8-865b-0667bd81770a.zip
Director's Dealing
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SEC Form 5 — Annual Statement of Changes in Beneficial Ownership
Issuer: BROADWAY FINANCIAL CORP \DE\ (BYFC)
CIK: 0001001171
Period of Report: 2010-12-31
Reporting Person: Sarpong Sam (Chief Financial Officer)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 2400 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $13.1100 | 2014-04-21 | Common Stock (10000) | 10000 | Direct |
| Stock Option (Right to Buy) | $10.2500 | 2016-05-24 | Common Stock (15000) | 15000 | Direct |
| Stock Option (Right to Buy) | $5.9500 | 2018-10-22 | Common Stock (15000) | 15000 | Direct |
| Performance Equity Stock - Grant | $10.25 | 2016-05-24 | Common Stock (600) | 600 | Direct |
| Employee Stock Ownership Plan | $ | Common Stock (685) | 685 | Direct |
Footnotes
F1: These shares are held in the Company's Employee Stock Ownership Plan (ESOP). The shares become exercisable after employment with the company ceases.
F2: These shares were Granted from the Performance Equity Plan at the Board of Directors meeting, on 05/24/2006, 3000 shares of options were granted and are to vest in five (5) equal annual installments. At each installment, 600 shares of Restricted Stock are given to the employee. Currently 600 are remaining.
F3: These shares are exercisable once employment with the company ceases.
F4: On April 21, 2004, 10,000 shares were granted from Long Term Incentive Plan with a stock price on that day of $13.1100. They will vest in five (5) equal annual installments on each following April 21. These will expire April 21, 2014.
F5: On May 24, 2006, 15,000 shares were granted from the Long Term Incentive Plan with a stock price on that day of $10.2500. They will vest in five (5) equal annual installments on each following May 24. These will expire May 24, 2016.
F6: On October 22, 2008, 15,000 shares were granted from the Long Term Incentive Plan with a stock price on that day of $5.9500. They will vest in five (5) equal annual installments on each following October 22. These will expire October 22, 2018.