<SEC-DOCUMENT>0001140361-21-021435.txt : 20210617
<SEC-HEADER>0001140361-21-021435.hdr.sgml : 20210617
<ACCEPTANCE-DATETIME>20210617164358
ACCESSION NUMBER:		0001140361-21-021435
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20210616
ITEM INFORMATION:		Shareholder Nominations Pursuant to Exchange Act Rule 14a-11
ITEM INFORMATION:		Other Events
FILED AS OF DATE:		20210617
DATE AS OF CHANGE:		20210617

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			BROADWAY FINANCIAL CORP \DE\
		CENTRAL INDEX KEY:			0001001171
		STANDARD INDUSTRIAL CLASSIFICATION:	SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035]
		IRS NUMBER:				954547287
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		8-K
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-39043
		FILM NUMBER:		211025289

	BUSINESS ADDRESS:	
		STREET 1:		5055 WILSHIRE BLVD STE 500
		CITY:			LOS ANGELES
		STATE:			CA
		ZIP:			90036
		BUSINESS PHONE:		3236341700

	MAIL ADDRESS:	
		STREET 1:		5055 WILSHIRE BLVD STE 500
		CITY:			LOS ANGELES
		STATE:			CA
		ZIP:			90036
</SEC-HEADER>
<DOCUMENT>
<TYPE>8-K
<SEQUENCE>1
<FILENAME>brhc10026012_8k.htm
<DESCRIPTION>8-K
<TEXT>
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      <div style="text-align: center; font-family: 'Times New Roman',Times,serif; font-size: 14pt; font-weight: bold;">UNITED STATES</div>
      <div style="text-align: center; font-family: 'Times New Roman',Times,serif; font-size: 14pt; font-weight: bold;">SECURITIES AND EXCHANGE COMMISSION</div>
      <div style="text-align: center; font-family: 'Times New Roman',Times,serif; font-size: 12pt; font-weight: bold;">Washington, D.C. 20549</div>
      <div style="text-align: center; font-family: 'Times New Roman',Times,serif; font-size: 18pt; font-weight: bold;">FORM 8-K</div>
      <div style="text-align: center; font-family: 'Times New Roman', Times, serif; font-weight: bold;">CURRENT REPORT</div>
      <div style="text-align: center; font-family: 'Times New Roman', Times, serif; font-weight: bold;">Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934</div>
      <div><br>
      </div>
      <div style="text-align: center; font-family: 'Times New Roman', Times, serif; font-weight: bold;">Date of Report (Date of earliest event reported): June 16, 2021</div>
      <div><br>
      </div>
      <div style="text-align: center; font-family: 'Times New Roman',Times,serif; font-size: 24pt; font-weight: bold;">BROADWAY FINANCIAL CORPORATION</div>
      <div style="text-align: center; font-family: 'Times New Roman', Times, serif;">(Exact name of registrant as specified in its charter)</div>
      <div><br>
      </div>
      <table cellspacing="0" cellpadding="0" border="0" id="z29baa7919d714faf8424b09dc6ebb71d" style="font-family: 'Times New Roman'; font-size: 10pt; width: 100%; border-collapse: collapse; text-align: left; color: #000000;">

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              <div style="text-align: center; color: rgb(0, 0, 0); font-family: 'Times New Roman',Times,serif; font-weight: bold;">Delaware</div>
            </td>
            <td style="width: 34%; vertical-align: bottom;">
              <div style="text-align: center; color: rgb(0, 0, 0); font-family: 'Times New Roman',Times,serif; font-weight: bold;">001-39043</div>
            </td>
            <td style="width: 33.32%; vertical-align: bottom;">
              <div style="text-align: center; color: rgb(0, 0, 0); font-family: 'Times New Roman',Times,serif; font-weight: bold;">95-4547287</div>
            </td>
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            <td style="width: 33%; vertical-align: bottom;">
              <div style="text-align: center; color: rgb(0, 0, 0); font-family: 'Times New Roman',Times,serif;">(State or other jurisdiction of incorporation)</div>
            </td>
            <td style="width: 34%; vertical-align: bottom;">
              <div style="text-align: center; color: rgb(0, 0, 0); font-family: 'Times New Roman',Times,serif;">(Commission File Number)</div>
            </td>
            <td style="width: 33.32%; vertical-align: bottom;">
              <div style="text-align: center; color: rgb(0, 0, 0); font-family: 'Times New Roman',Times,serif;">(IRS Employer Identification No.)</div>
            </td>
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      <div style="text-align: center; font-family: 'Times New Roman', Times, serif; font-weight: bold;">5055 Wilshire Boulevard</div>
      <div style="text-align: center; font-family: 'Times New Roman', Times, serif; font-weight: bold;">Suite 500</div>
      <div style="text-align: center; font-family: 'Times New Roman', Times, serif; font-weight: bold;">Los Angeles, CA 90036</div>
      <div style="text-align: center; font-family: 'Times New Roman', Times, serif;">(Address of principal executive offices) (Zip Code)</div>
      <div><br>
      </div>
      <div style="text-align: center; font-family: 'Times New Roman', Times, serif; font-weight: bold;">(323) 634-1700</div>
      <div style="text-align: center; font-family: 'Times New Roman', Times, serif;">(Registrant&#8217;s telephone number, including area code)</div>
      <div><br>
      </div>
      <div style="text-align: center; font-family: 'Times New Roman', Times, serif; font-weight: bold;">NOT APPLICABLE</div>
      <div style="text-align: center; font-family: 'Times New Roman', Times, serif;">(Former name or former address, if changed since last report)</div>
      <div><br>
      </div>
      <div style="font-family: 'Times New Roman', Times, serif;">Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the
        following provisions (see General Instruction A.2. below):</div>
      <div><br>
      </div>
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            <td style="width: auto; vertical-align: top;">
              <div style="color: rgb(0, 0, 0); font-family: 'Times New Roman',Times,serif;">Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</div>
            </td>
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            <td style="width: 18pt; vertical-align: top; align: right; color: #000000; font-family: 'Times New Roman', Times, serif;">&#9744;</td>
            <td style="width: auto; vertical-align: top;">
              <div style="color: rgb(0, 0, 0); font-family: 'Times New Roman',Times,serif;">Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</div>
            </td>
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            <td style="width: 18pt; vertical-align: top; align: right; color: #000000; font-family: 'Times New Roman', Times, serif;">&#9744;</td>
            <td style="width: auto; vertical-align: top;">
              <div style="color: rgb(0, 0, 0); font-family: 'Times New Roman',Times,serif;">Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</div>
            </td>
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            <td style="width: 18pt; vertical-align: top; align: right; color: #000000; font-family: 'Times New Roman', Times, serif;">&#9744;</td>
            <td style="width: auto; vertical-align: top;">
              <div style="color: rgb(0, 0, 0); font-family: 'Times New Roman',Times,serif;">Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</div>
            </td>
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      <div><br>
      </div>
      <div style="color: #000000; font-family: 'Times New Roman', Times, serif;">Securities registered pursuant to Section 12(b) of the Act:</div>
      <div><font style="font-family: 'Times New Roman', Times, serif; color: #000000;"> </font><br>
        </div>
      <table cellspacing="0" cellpadding="0" border="0" id="z6b4c7c216edc4afa8526ac81633c8095" style="font-family: 'Times New Roman'; font-size: 10pt; width: 100%; border-collapse: collapse; text-align: left; color: #000000;">

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              <div style="text-align: center; color: rgb(0, 0, 0); font-family: 'Times New Roman',Times,serif; font-weight: bold;">Title of each class</div>
            </td>
            <td style="width: 2%; vertical-align: top;">&#160;</td>
            <td style="width: 32%; vertical-align: top; border-bottom: 2px solid rgb(0, 0, 0);">
              <div style="text-align: center; color: rgb(0, 0, 0); font-family: 'Times New Roman',Times,serif; font-weight: bold;">Trading symbol(s)</div>
            </td>
            <td style="width: 2%; vertical-align: top;">&#160;</td>
            <td style="width: 32%; vertical-align: top; border-bottom: 2px solid rgb(0, 0, 0);">
              <div style="text-align: center; color: rgb(0, 0, 0); font-family: 'Times New Roman',Times,serif; font-weight: bold;">Name of each exchange on which registered</div>
            </td>
          </tr>
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            <td style="width: 32%; vertical-align: top;">
              <div style="text-align: center; color: rgb(0, 0, 0); font-family: 'Times New Roman',Times,serif;">Class A Common Stock, par value $0.01 per share (including attached preferred stock purchase rights)</div>
            </td>
            <td style="width: 2%; vertical-align: top;">&#160;</td>
            <td style="width: 32%; vertical-align: top;">
              <div style="text-align: center; color: rgb(0, 0, 0); font-family: 'Times New Roman',Times,serif;">BYFC</div>
            </td>
            <td style="width: 2%; vertical-align: top;">&#160;</td>
            <td style="width: 32%; vertical-align: top;">
              <div style="text-align: center; color: rgb(0, 0, 0); font-family: 'Times New Roman',Times,serif;">The Nasdaq Stock Market LLC</div>
            </td>
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      <div><br>
      </div>
      <div style="font-family: 'Times New Roman', Times, serif;">Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (&#167;230.405 of this chapter)
        or Rule 12b-2 of the Securities Exchange Act of 1934 (&#167;240.12b-2 of this chapter).</div>
      <div><br>
      </div>
      <div style="margin-left: 0.5pt;"><font style="font-family: 'Times New Roman', Times, serif; color: #000000;">Emerging growth company</font>&#160;&#160;&#160;&#160; &#9744;</div>
      <div><br>
      </div>
      <div style="margin-left: 0.25pt; color: #000000; font-family: 'Times New Roman', Times, serif;">If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition
        period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160; &#9744;</div>
      <div><br>
      </div>
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            <td style="width: 45pt; vertical-align: top; color: rgb(0, 0, 0); font-family: 'Times New Roman',Times,serif; font-weight: bold;">Item 5.08</td>
            <td style="width: auto; vertical-align: top; text-align: justify;">
              <div style="color: rgb(0, 0, 0); font-family: 'Times New Roman',Times,serif; font-weight: bold;">Shareholder Director Nominations</div>
            </td>
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      <div>
        <div style="text-align: justify; color: #000000; font-family: 'Times New Roman', Times, serif;"> <br>
        </div>
        <div style="text-align: justify; color: #000000; font-family: 'Times New Roman', Times, serif;">To the extent applicable, the information in Item 8.01 of this Current Report on Form 8-K is incorporated by reference into this Item
          5.08.</div>
        <div><br>
        </div>
      </div>
      <table cellspacing="0" cellpadding="0" id="zd4663fef142a40eba9965699be78d56e" class="DSPFListTable" style="font-family: 'Times New Roman'; font-size: 10pt; width: 100%; text-align: left; color: #000000;">

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            <td style="width: 45pt; vertical-align: top; color: rgb(0, 0, 0); font-family: 'Times New Roman',Times,serif; font-weight: bold;">Item 8.01</td>
            <td style="width: auto; vertical-align: top;">
              <div style="color: rgb(0, 0, 0); font-family: 'Times New Roman',Times,serif; font-weight: bold;">Other Events</div>
            </td>
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      <div>
        <div><br>
        </div>
        <div style="text-align: justify; color: #000000; font-family: 'Times New Roman', Times, serif;">On June 16, 2021, the board of directors of Broadway Financial Corporation (the &#8220;Company&#8221;) established October 20, 2021 as the date of
          the Company&#8217;s 2021 annual meeting of stockholders (the &#8220;<font style="font-family: 'Times New Roman',Times,serif;"><u>2021 Annual Meeting</u></font>&#8221;).&#160; The Company will publish additional details regarding the exact time, location, and
          matters to be voted on at the 2021 Annual Meeting in the Company&#8217;s definitive proxy statement for the 2021 Annual Meeting. This date represents a change of more than 60 days from the anniversary date of the Company&#8217;s 2020 annual meeting of
          stockholders held on June 24, 2020.&#160; As a result, the deadlines for stockholders to submit proposals and nominations of directors for the 2021 Annual Meeting as set forth in the Company&#8217;s definitive proxy statement for its 2020 annual meeting of
          stockholders are no longer effective.</div>
      </div>
      <div>
        <div style="text-align: justify; text-indent: 36pt;"><font style="font-family: 'Times New Roman', Times, serif; color: #000000;"> </font><br>
          </div>
      </div>
      <div>
        <div style="text-align: justify; color: rgb(0, 0, 0); font-family: 'Times New Roman',Times,serif;">Under the Company&#8217;s Bylaws, for stockholder proposals and director nominations to be presented at the 2021 Annual Meeting (other than by
          means of inclusion of a stockholder proposal in the proxy materials pursuant to Rule 14a-8 under the Securities Exchange Act of 1934, as amended (the &#8220;<u>Exchange Act</u>&#8221;),
          which is described below), the Company must receive proper written notice at the Company&#8217;s principal executive offices not later than 5:00 p.m. Pacific Time on July 22, 2021. The notice must include all of the information required by the Bylaws.</div>
      </div>
      <div>
        <div style="text-align: justify; text-indent: 36pt;"><font style="font-family: 'Times New Roman', Times, serif; color: #000000;"> </font><br>
          </div>
      </div>
      <div>
        <div style="text-align: justify; color: rgb(0, 0, 0); font-family: 'Times New Roman',Times,serif;">Stockholder proposals intended for inclusion in the Company&#8217;s definitive proxy statement for the 2021 Annual Meeting pursuant to Rule 14a-8
          under the Exchange Act must be received at the Company&#8217;s principal executive office no later than August 18, 2021 (which the Company believes is a reasonable time before it begins to print and send its proxy materials). Any such proposal must
          also meet the requirements set forth in the rules and regulations of the Exchange Act in order to be eligible for inclusion in the proxy materials for the 2021 Annual Meeting.</div>
      </div>
      <div>
        <div style="text-align: justify; text-indent: 36pt;"><font style="font-family: 'Times New Roman', Times, serif; color: #000000;"> </font><br>
          </div>
      </div>
      <div>
        <div style="text-align: justify; color: rgb(0, 0, 0); font-family: 'Times New Roman',Times,serif;">All such proposals and nominations must be addressed to the Secretary of the Company at 5055 Wilshire Boulevard, Suite 500, Los Angeles,
          California 90036, Attn: Audrey Phillips, Vice President and Corporate Secretary.</div>
      </div>
      <div>
        <div><font style="font-family: 'Times New Roman', Times, serif; color: #000000;"> </font><br>
          </div>
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      <div style="text-align: center; font-family: 'Times New Roman', Times, serif; font-weight: bold;">SIGNATURES</div>
      <div style="text-align: center; font-family: 'Times New Roman', Times, serif; font-weight: bold;"> <br>
      </div>
      <div style="text-indent: 36pt; font-family: 'Times New Roman', Times, serif;">Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its
        behalf by the undersigned hereunto duly authorized.</div>
      <div><br>
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            <td style="width: 50%; vertical-align: top;">&#160;</td>
            <td style="vertical-align: top;" colspan="2">
              <div style="color: rgb(0, 0, 0); font-family: 'Times New Roman',Times,serif;">BROADWAY FINANCIAL CORPORATION</div>
            </td>
          </tr>
          <tr>
            <td style="width: 50%; vertical-align: top;">&#160;</td>
            <td style="width: 3%; vertical-align: top;">&#160;</td>
            <td style="width: 47%; vertical-align: top;">&#160;</td>
          </tr>
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            <td style="width: 50%; vertical-align: top;">
              <div style="color: rgb(0, 0, 0); font-family: 'Times New Roman',Times,serif;">Date: June 17, 2021</div>
            </td>
            <td style="width: 3%; vertical-align: top;">
              <div style="color: rgb(0, 0, 0); font-family: 'Times New Roman',Times,serif;">By:</div>
            </td>
            <td style="width: 47%; vertical-align: top; border-bottom: 2px solid rgb(0, 0, 0);">
              <div style="color: rgb(0, 0, 0); font-family: 'Times New Roman',Times,serif;">/s/ Brenda J. Battey</div>
            </td>
          </tr>
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            <td style="width: 50%; vertical-align: top;">&#160;</td>
            <td style="width: 3%; vertical-align: top;">&#160;</td>
            <td style="width: 47%; vertical-align: top;">
              <div style="color: rgb(0, 0, 0); font-family: 'Times New Roman',Times,serif;">Brenda J. Battey</div>
            </td>
          </tr>
          <tr>
            <td style="width: 50%; vertical-align: top;" colspan="1"><br>
            </td>
            <td style="width: 3%; vertical-align: top;" colspan="1"><br>
            </td>
            <td style="width: 47%; vertical-align: top;" colspan="1">
              <div style="color: rgb(0, 0, 0); font-family: 'Times New Roman',Times,serif;">Executive Vice President and</div>
              <div style="color: rgb(0, 0, 0); font-family: 'Times New Roman',Times,serif;">Chief Financial Officer</div>
            </td>
          </tr>

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