Basswood Opportunity to sell KBW shares in Rule 144 filing for DCBG

Rhea-AI Filing Summary

BASSWOOD OPPORTUNITY PARTNERS, L.P. filed to sell shares of Common Stock of Keefe, Bruyette & Woods, Inc. under Rule 144. The notice covers up to 458,433 shares to be sold through open market transactions and/or transfers from affiliates after July 30, 2026.

The filing lists 44,158,000 shares of common stock as of July 30, 2026. Over the prior three months, Basswood reported several common stock sales on June 12, 15, 16, and 18, 2026, each with specified share amounts and dollar proceeds.

Key Figures

Planned Rule 144 sale: 458,433 shares Shares as of date: 44,158,000 shares June 12, 2026 sale: 5,244 shares; $210,180 +3 more

6 metrics

Planned Rule 144 sale 458,433 shares Common Stock to be sold through open market and/or affiliate transfers for cash

Shares as of date 44,158,000 shares Common stock listed as of July 30, 2026

June 12, 2026 sale 5,244 shares; $210,180 Common Stock sold by BASSWOOD OPPORTUNITY PARTNERS, L.P.

June 15, 2026 sale 6,963 shares; $276,222.21 Common Stock sold by BASSWOOD OPPORTUNITY PARTNERS, L.P.

June 16, 2026 sale 6,726 shares; $264,264.54 Common Stock sold by BASSWOOD OPPORTUNITY PARTNERS, L.P.

June 18, 2026 sale 13,800 shares; $538,476 Common Stock sold by BASSWOOD OPPORTUNITY PARTNERS, L.P.

Key Terms

Rule 144, Open Market, transfers from affiliates, Common Stock

4 terms

Rule 144 regulatory

"filed to sell shares of Common Stock of Keefe, Bruyette & Woods, Inc. under Rule 144"

Rule 144 is a U.S. securities regulation that sets conditions under which restricted or insider-held shares can be legally resold to the public, such as required holding periods, availability of public information, limits on how much can be sold at once, and certain filing requirements. For investors it matters because it determines when previously locked-up shares can enter the market — like a release valve that can increase supply, affect share price, and signal insider intent.

Open Market financial

"to be sold through open market transactions 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

"to be sold through open market transactions and/or transfers from affiliates"

Common Stock financial

"plans to sell up to 458,433 shares of 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.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 07/30/2026 - 08:17 PM Accepted by SEC EDGAR 07/30/2026 - 08:17 PM Learn about SEC filing dates

FAQ

What does the Form 144 filing for DCBG disclose?

The Form 144 filing discloses that BASSWOOD OPPORTUNITY PARTNERS, L.P. plans to sell up to 458,433 shares of Keefe, Bruyette & Woods, Inc. common stock under Rule 144 through open market trades and/or transfers from affiliates.

How many DCBG-related shares are covered by the planned Rule 144 sale?

The planned Rule 144 transaction covers up to 458,433 shares of common stock. These shares may be sold in open market transactions and/or transfers from affiliates after July 30, 2026, for cash consideration.

How many Keefe, Bruyette & Woods, Inc. shares were outstanding in the DCBG filing?

The filing lists 44,158,000 shares of Keefe, Bruyette & Woods, Inc. common stock as of July 30, 2026. This figure provides context for the size of the potential Rule 144 sale relative to total shares.

What recent sales did Basswood report in the DCBG Form 144?

Basswood reported common stock sales on June 12, 15, 16, and 18, 2026, with share amounts of 5,244, 6,963, 6,726, and 13,800 respectively, each accompanied by specific dollar proceeds for those transactions.

What were the dollar proceeds from recent Basswood sales in the DCBG context?

Reported proceeds included $210,180 on June 12, $276,222.21 on June 15, $264,264.54 on June 16, and $538,476 on June 18, 2026, all tied to sales of common stock by BASSWOOD OPPORTUNITY PARTNERS, L.P.

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	22514	914068	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	08/06/2014	(3)	Open Market and/or Transfers from Affiliates			458433	07/30/2026	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 OPPORTUNITY PARTNERS, L.P. c/o Basswood Capital Management, L.L.C. 645 Madison Avenue, 10th Floor New York NY 10022	Common Stock	06/12/2026	5244	210180
BASSWOOD OPPORTUNITY PARTNERS, L.P. c/o Basswood Capital Management, L.L.C. 645 Madison Avenue, 10th Floor New York NY 10022	Common Stock	06/15/2026	6963	276222.21
BASSWOOD OPPORTUNITY PARTNERS, L.P. c/o Basswood Capital Management, L.L.C. 645 Madison Avenue, 10th Floor New York NY 10022	Common Stock	06/16/2026	6726	264264.54
BASSWOOD OPPORTUNITY PARTNERS, L.P. c/o Basswood Capital Management, L.L.C. New York NY 10022	Common Stock	06/18/2026	13800	538476

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)