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BROADWAY FINANCIAL CORP \DE\ — Director's Dealing 2012
Jul 5, 2012
34433_dirs_2012-07-05_4a51d876-1e57-498f-93be-80d14688c602.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: BROADWAY FINANCIAL CORP \DE\ (BYFC)
CIK: 0001001171
Period of Report: 2012-07-02
Reporting Person: MADDOX ALBERT O (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-07-02 | Common Stock Purchase | P | 19231 | $1.30 | Disposed | 19231 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2010-01-21 | Stock Option (Right to Buy) | $6.00 | A | 1250 | Acquired | 2020-01-21 | Common Stock (1250) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 15894 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $4.00 | 2019-01-21 | Common Stock (1875) | 1875 | Direct |
Footnotes
F1: These shares are held in the Albert Maddox and Deloise Maddox trust.
F2: 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.
F3: 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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