Keefe Bruyette & Woods (DCBG) investor files Form 144 for large stock sale

Rhea-AI Filing Summary

Basswood Capital Management, LLC filed notice of a planned sale of Common Stock of Keefe Bruyette & Woods, Inc. under a Form 144. The filing lists proposed disposition of shares through open market and/or transfers from affiliates, with cash consideration.

The filing also reports recent sales of Common Stock over the past three months on June 12, 15, 16, and 18, 2026, each disclosing the number of shares sold and total cash proceeds received.

Key Figures

Planned shares to be sold: 982,855 shares June 12, 2026 sale: 4,636 shares; $185,811 June 15, 2026 sale: 3,134 shares; $124,325.78 +2 more

5 metrics

Planned shares to be sold 982,855 shares Common Stock listed in the Securities To Be Sold section

June 12, 2026 sale 4,636 shares; $185,811 Common Stock sold during the past 3 months on 06/12/2026

June 15, 2026 sale 3,134 shares; $124,325.78 Common Stock sold during the past 3 months on 06/15/2026

June 16, 2026 sale 3,028 shares; $118,970.12 Common Stock sold during the past 3 months on 06/16/2026

June 18, 2026 sale 12,666 shares; $494,227.32 Common Stock sold during the past 3 months on 06/18/2026

Key Terms

Form 144, Open Market, Transfers from Affiliates, Common Stock

4 terms

Form 144 regulatory

"Basswood Capital Management, LLC filed notice of a planned sale under a Form 144"

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.

Open Market financial

"proposed disposition of shares through 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.

Transfers from Affiliates financial

"shares through open market and/or transfers from affiliates, with cash consideration"

Common Stock financial

"planned sale of Common Stock of Keefe Bruyette & Woods, Inc. under a Form 144"

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.

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Available on EDGAR 07/30/2026 - 08:16 PM Accepted by SEC EDGAR 07/30/2026 - 08:16 PM Learn about SEC filing dates

FAQ

What does the Form 144 filed for DCBG indicate?

The Form 144 indicates that Basswood Capital Management, LLC intends to sell Common Stock of Keefe Bruyette & Woods, Inc., potentially through open market transactions and/or transfers from affiliates, for cash consideration.

How many shares are planned for sale in this DCBG-related Form 144?

The Form 144 reports a proposed sale of 982,855 shares of Common Stock, with a planned disposition method of open market sales and/or transfers from affiliates, with the transaction to be settled for cash.

Which investor is selling Keefe Bruyette & Woods stock connected to DCBG?

The selling investor is Basswood Capital Management, LLC, which filed the Form 144 and is identified as having conducted multiple Common Stock sales over the past three months from its New York address.

What recent sales of DCBG-related stock are disclosed in the Form 144?

The filing discloses Common Stock sales on June 12, 15, 16, and 18, 2026, with each entry listing the number of shares sold and total cash proceeds, including a June 18, 2026 sale of 12,666 shares for $494,227.32.

What is the method of sale for the DCBG-related shares in this notice?

The Form 144 states that the Common Stock may be sold in the open market and/or via transfers from affiliates, with the consideration to be paid in cash as noted in the securities to be sold section.

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 100019	44712	1815307	44158000	07/30/2026	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	01/16/2014	(3)	Open Market and/or Transfers from Affiliates			982855	01/16/2014	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 Capital Management, LLC c/o Basswood Capital Management, L.L.C. 645 Madison Avenue, 10th Floor New York NY 10022	Common Stock	06/12/2026	4636	185811
Basswood Capital Management, LLC c/o Basswood Capital Management, L.L.C. 645 Madison Avenue, 10th Floor New York NY 10022	Common Stock	06/15/2026	3134	124325.78
Basswood Capital Management, LLC c/o Basswood Capital Management, L.L.C. 645 Madison Avenue, 10th Floor New York NY 10022	Common Stock	06/16/2026	3028	118970.12
Basswood Capital Management, LLC c/o Basswood Capital Management, L.L.C. 645 Madison Avenue, 10th Floor New York NY 10022	Common Stock	06/18/2026	12666	494227.32

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)