Statement of Changes in Beneficial Ownership (4)
May 04 2021 - 4:25PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
HETTERICH F PAUL |
2. Issuer Name and Ticker or Trading Symbol
CONSTELLATION BRANDS, INC.
[
STZ
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) EVP & Pres. Beer |
(Last)
(First)
(Middle)
C/O CONSTELLATION BRANDS, INC., 207 HIGH POINT DRIVE, BUILDING 100 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/1/2021 |
(Street)
VICTOR, NY 14564
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Class A Common Stock | 5/1/2021 | | M | | 708 | A | $0 (1) | 56484 (2) | D | |
Class A Common Stock | 5/1/2021 | | M | | 2639 | A | $0 (3) | 59123 | D | |
Class A Common Stock | 5/1/2021 | | F | | 1278 | D | $240.32 | 57845 | D | |
Class A Common Stock | | | | | | | | 737 | I | As UTMA custodian for Son |
Class A Common Stock | | | | | | | | 599 | I | by Daughter |
Class A Common Stock | | | | | | | | 14230 (4) | I | By Spouse |
Class A Common Stock | | | | | | | | 373.928 | I | by Spouse as custodian for son under UTMA-1 (5) |
Class A Common Stock | | | | | | | | 373.928 | I | by Spouse as custodian for son under UTMA-2 (5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Performance Share Units | (1) | 5/1/2021 | | M | | | 708 | (6) | (6) | Class A Common Stock | 708.0 | $0 | 0 | D | |
Restricted Stock Units | (3) | 5/1/2021 | | M | | | 635 | 5/1/2018 (7) | (7) | Class A Common Stock | 635.0 | $0 | 0 | D | |
Restricted Stock Units | (3) | 5/1/2021 | | M | | | 479 | 5/1/2019 (7) | (7) | Class A Common Stock | 479.0 | $0 | 479 | D | |
Restricted Stock Units | (3) | 5/1/2021 | | M | | | 603 | 5/1/2020 (7) | (7) | Class A Common Stock | 603.0 | $0 | 1204 | D | |
Restricted Stock Units | (3) | 5/1/2021 | | M | | | 922 | 5/1/2021 (7) | (7) | Class A Common Stock | 922.0 | $0 | 2763 | D | |
Explanation of Responses: |
(1) | Each performance share unit represents a contingent right to receive one share of Constellation Brands, Inc. Class A Common Stock. |
(2) | Includes shares of Class A Common Stock acquired in January 2021 under the Constellation Brands, Inc. 1989 Employee Stock Purchase Plan. |
(3) | Each restricted stock unit represents a contingent right to receive one share of Constellation Brands, Inc. Class A Common Stock. |
(4) | The reporting person disclaims beneficial ownership with respect to securities held in this manner, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for the purposes of Section 16 or any other purpose. |
(5) | These shares are held in UTMA accounts for the benefit of the reporting person's stepsons. The reporting person disclaims beneficial ownership with respect to securities held in this manner, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for the purposes of Section 16 or any other purpose. |
(6) | The performance share units disposed of in the reported transaction vested on May 1, 2021. Vested shares are delivered to the reporting person net of shares withheld to satisfy taxes. |
(7) | The restricted stock units disposed of in the reported transaction vested on May 1, 2021. Vested shares are delivered to the reporting person net of shares withheld to satisfy taxes. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
HETTERICH F PAUL C/O CONSTELLATION BRANDS, INC. 207 HIGH POINT DRIVE, BUILDING 100 VICTOR, NY 14564 |
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| EVP & Pres. Beer |
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Signatures
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/s/ H. Elaine Ziakas, Attorney-in-fact | | 5/4/2021 |
**Signature of Reporting Person | Date |
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