BROADWAY FINANCIAL CORP \DE\ — Director's Dealing 2014

Jan 30, 2014

SEC Form 5 — Annual Statement of Changes in Beneficial Ownership

Issuer: BROADWAY FINANCIAL CORP \DE\ (BYFC)
CIK: 0001001171
Period of Report: 2013-12-31

Reporting Person: Bradshaw Wayne-Kent A. (Director, President/CEO)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	19231	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Stock Option (Right to Buy)	$4.98	2019-03-18	Common Stock (75000)	45000	Direct
Employee Stock Ownership Plan	$		Common Stock (98)	98	Direct

Footnotes

F1: On March 18, 2009 the Board of Directors granted 75,000 shares of Stock Options under the Long Term Incentive Plan. The stock price on that day was $4.98 per share. The shares vest in five (5) equal annual installments each year beginning the following year, on March 18. The options are fully exercisable on March 18, 2014. If not exercised, the stock options will expire on March 18, 2019 or upon termination of employment.

F2: These shares are held in the Employee Stock Ownership Plan (ESOP). When employee is no longer with the company, the shares become exercisable.

F3: On July 2, 2012, an investment of Capital was made in exchange for common stock.