Basswood (DCBG) sells small blocks of Keefe, Bruyette & Woods common stock

Rhea-AI Filing Summary

Basswood Financial Fund submitted a Form 144 reporting proposed sales of Common Stock of Keefe, Bruyette & Woods, Inc. The filing lists small open‑market transfers and cash sales activity, including sales of 98 shares on 06/12/2026 ($3,928), 128 shares on 06/15/2026 ($5,077.76) and 123 shares on 06/16/2026 ($4,832.67).

Key Figures

Sale on 06/12/2026: 98 shares Proceeds on 06/12/2026: $3,928 Sale on 06/15/2026: 128 shares +4 more

7 metrics

Sale on 06/12/2026 98 shares Basswood Financial Fund open‑market transfer

Proceeds on 06/12/2026 $3,928 Cash amount listed for 98‑share sale

Sale on 06/15/2026 128 shares Basswood Financial Fund open‑market transfer

Proceeds on 06/15/2026 $5,077.76 Cash amount listed for 128‑share sale

Sale on 06/16/2026 123 shares Basswood Financial Fund open‑market transfer

Proceeds on 06/16/2026 $4,832.67 Cash amount listed for 123‑share sale

Security par value $0.10 par Common Stock par value stated for Keefe, Bruyette & Woods, Inc.

Key Terms

Common Stock, Open Market, Form 144

3 terms

Common Stock financial

"Common Stock, par value $0.10 ("Common Stock")"

Common stock represents ownership shares in a company, giving investors a stake in its success and a say in important decisions through voting rights. It is the most common type of stock traded on markets and can provide income through dividends, as well as potential for value growth. For investors, holding common stock means sharing in the company’s profits and risks.

Open Market market

"Open Market and/or Transfers from Affiliates"

An open market is a system where buying and selling of goods, services, or financial assets happen freely without restrictions or special controls. For investors, it means they can trade assets easily and quickly, which helps determine fair prices based on supply and demand. This environment encourages transparency and competition, making it easier to buy or sell with confidence.

Form 144 regulatory

"144: Securities Sold During The Past 3 Months"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

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Available on EDGAR 06/18/2026 - 08:40 PM Accepted by SEC EDGAR 06/18/2026 - 08:39 PM Learn about SEC filing dates

FAQ

What does the DCBG Form 144 disclose?

It discloses proposed sales of Keefe, Bruyette & Woods common stock by Basswood Financial Fund. The filing lists open‑market transfers and recent transactions: 98 shares on 06/12/2026 ($3,928), 128 shares on 06/15/2026 ($5,077.76), and 123 shares on 06/16/2026 ($4,832.67).

Who is the selling party in the DCBG Form 144?

The selling party is Basswood Financial Fund, Ltd, represented by Basswood Capital Management, L.L.C. The address shown is 645 Madison Avenue, 10th Floor, New York, NY 10022 as listed in the filing.

What method of sale is described in the Form 144 for DCBG?

The filing lists sales via open market and/or transfers from affiliates. The securities section states Open Market and/or Transfers from Affiliates and indicates cash consideration for listed transfers.

Are the recent transactions large enough to indicate material dilution for DCBG?

No; the filing shows small block transactions of under 130 shares each. These individual sales (98, 128, 123 shares) are routine and do not quantify any material dilution or change in outstanding share counts in the excerpt.

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common Stock, par value $0.10 ("Common Stock")	KEEFE, BRUYETTE & WOODS, INC. 787 7TH AVENUE, 4TH FLOOR New York NY 10019	211	8178	43886835	06/18/2026	NYSE

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common Stock	08/06/2014	(3)	Open Market and/or Transfers from Affiliates			7040	08/06/2014	Cash (3)

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
Basswood Financial Fund, Ltd c/o Basswood Capital Management, L.L.C. 645 Madison Avenue, 10th Floor New York NY 10022	Common Stock	06/12/2026	98	3928
Basswood Financial Fund, Ltd c/o Basswood Capital Management, L.L.C. 645 Madison Avenue, 10th Floor New York NY 10022	Common Stock	06/15/2026	128	5077.76
Basswood Financial Fund, Ltd c/o Basswood Capital Management, L.L.C. 645 Madison Avenue, 10th Floor New York NY 10022	Common Stock	06/16/2026	123	4832.67

144: Remarks and Signature

Remarks

Date of Notice

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)