UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): October 20, 2021

BROADWAY FINANCIAL CORPORATION
(Exact name of registrant as specified in its charter)

Delaware
001-39043
95-4547287
(State or other jurisdiction of incorporation)
(Commission File Number)
(IRS Employer Identification No.)

5055 Wilshire Boulevard Suite 500, Los Angeles, CA

90036
(Address of principal executive offices)

(Zip Code)

Registrant’s telephone number, including area code: (323) 634-1700

NOT APPLICABLE
(Former name or former address, if changed since last report)

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):

  ☐
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
  ☐
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
  ☐
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
  ☐
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

Title of each class
  
Trading symbol(s)
  
Name of each exchange on which registered
Class A Common Stock, par value $0.01 per share (including attached preferred stock purchase rights)
  
BYFC
  
The Nasdaq Stock Market LLC

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company
 ☐

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.
 ☐

Item 5.07
Submission of Matters to a Vote of Security Holders

(a)          The Broadway Financial Corporation (the “Company”) Annual Meeting of Stockholders was held on October 20, 2021.

(b)          Stockholders voted on the matters set forth below:

1.
The nominees for election to the Company’s Board of Directors set forth in Item 1 to the Company’s Proxy Statement filed with the U.S. Securities and Exchange Commission on September 9, 2021 were elected to serve until the Annual Meeting of Stockholders to be held in the year 2024 or until their respective successors are duly elected and qualified, based on the following vote:

Nominee
Votes For
Votes Withheld
Broker Non-Votes
       
Marie C. Johns
25,140,380
2,023,078
2,031,257
David J. McGrady
25,172,184
1,991,274
2,031,257
Wayne-Kent A. Bradshaw
25,136,349
2,027,109
2,031,257

2.
The proposal to ratify the appointment of Moss Adams LLP as the independent registered public accounting firm for the Company for its fiscal year ending December 31, 2021 was approved based upon the following votes:

Votes for approval
29,181,207
Votes against
10,630
Abstentions
2,878
Broker non-votes
-

3.
The proposal to approve the Company’s executive compensation on an advisory (non-binding) basis was approved based upon the following votes:

Votes for approval
27,114,436
Votes against
36,405
Abstentions
12,617
Broker non-votes
2,031,257

SIGNATURES
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.

 
BROADWAY FINANCIAL CORPORATION
     
Date: October 22, 2021
By:
/s/ Brenda J. Battey
   
Brenda J. Battey
   
Executive Vice President and
   
Chief Financial Officer