Basswood Fund (DCBG) files Form 144 to sell 153,889 shares on NYSE

Rhea-AI Filing Summary

Basswood Financial Fund, L.P. submitted a Form 144 reporting a proposed sale of 153,889 shares of Common Stock of Keefe, Bruyette & Woods, Inc. The filing lists 5,892 shares sold in the past three months and 236,151 shares in reported ownership.

The methods of sale are described as Open Market and/or Transfers from Affiliate, with consideration listed as Cash. The securities are NYSE-listed and the filing shows an effective date reference of 06/15/2026.

Insights

Capital Markets Counsel

Form 144 notifies proposed resale of 153,889 shares by an affiliate fund.

The filing documents a proposed transaction method described as Open Market and/or Transfers from Affiliate and records Cash as the consideration. It also reports 5,892 shares sold in the past three months and a reported ownership of 236,151 shares.

Timing and execution details are governed by resale rules and market execution; subsequent Form 4/Form 5 or broker reports would show completed transactions.

Key Figures

Proposed sale: 153,889 shares Shares sold in past 3 months: 5,892 shares Reported ownership: 236,151 shares +2 more

5 metrics

Proposed sale 153,889 shares Listed under "Securities To Be Sold"

Shares sold in past 3 months 5,892 shares Listed in "Securities Sold During The Past 3 Months" dated <date>06/12/2026</date>

Reported ownership 236,151 shares Ownership amount shown in the same row as recent sales

Exchange NYSE Security trading venue listed on the form

Form reference date 06/15/2026 Filer/cover reference date on the submission

Key Terms

Form 144, Open Market and/or Transfers from Affiliate, Consideration: Cash, Securities Sold During The Past 3 Months

4 terms

Form 144 regulatory

"Securities To Be Sold / 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.

Open Market and/or Transfers from Affiliate market

"Listed as sale method adjacent to 153,889"

Consideration: Cash financial

"Cash (3) shown beside the proposed sale line"

Securities Sold During The Past 3 Months regulatory

"Section shows 5,892 and 236,151 figures"

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Available on EDGAR 06/15/2026 - 09:30 PM Accepted by SEC EDGAR 06/15/2026 - 09:29 PM Learn about SEC filing dates

FAQ

What does Basswood Financial Fund's Form 144 for DCBG report?

It reports a proposed sale of 153,889 shares. The filing lists sale methods as open market or transfers from an affiliate, shows 5,892 shares sold in the past three months, and reports ownership of 236,151 shares.

How many shares were sold in the past three months according to the filing?

The filing lists 5,892 shares sold in the past three months. That figure appears in the "Securities Sold During The Past 3 Months" section alongside a reported ownership figure of 236,151 shares in the same row.

What sale methods and consideration are indicated in the Form 144?

Methods listed: "Open Market and/or Transfers from Affiliate." The filing records the consideration as Cash, shown adjacent to the proposed sale quantity of 153,889 shares.

Does the Form 144 confirm completed sales of the reported 153,889 shares?

No—Form 144 is a notice of a proposed resale, not a confirmation of completion. Completion evidence would appear in subsequent SEC filings or broker reports; this form records the intention and relevant quantities.

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	KEEFE, BRUYETTE & WOODS, INC 787 7TH AVENUE, 4TH FLOOR NEW YORK NY 10019	4519	181122	43886835	06/15/2026	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	02/03/2014	(3)	Open Market and/or Transfers from Affiliate			153889	02/03/2014	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, L.P. c/o Basswood Capital Management, L.L.C. 645 Madison Avenue, 10th Floor New York NY 10022	Common Stock	06/12/2026	5892	236151

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)