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BROADWAY FINANCIAL CORP \DE\ — Director's Dealing 2012
Feb 3, 2012
34433_dirs_2012-02-03_465ab7f2-e150-4dcd-9c59-2777ef6c66f6.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: 2011-12-31
Reporting Person: ROBERTS VIRGIL P (Director)
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 | 5806 | Direct |
| Common Stock | 3917 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $8.19 | 2012-09-19 | Common Stock (1784) | 1784 | Direct |
| Stock Option (Right to Buy) | $4.00 | 2019-01-21 | Common Stock (1875) | 3659 | Direct |
Footnotes
F1: These are shares are held in the name of Virgil P. Roberts and Brenda Roberts, spouse.
F2: The Board of Directors granted this Stock Option on January 21, 2009 and it 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.
F3: These Stock Options were granted on 09/19/2002 at 8.1900 per share and 1784 shares and vest in five (5) equal annual installments beginning on the first anniversary date of grant. These were granted from the Stock Option Plan for Outside Directors and expire 09/19/2012 or upon departure from Board.