Initial Statement of Beneficial Ownership (3)
October 11 2019 - 4:36PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
*
Monteiro Mallika |
2. Date of Event Requiring Statement (MM/DD/YYYY)
10/2/2019
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3. Issuer Name and Ticker or Trading Symbol
CONSTELLATION BRANDS, INC. [STZ]
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(Last)
(First)
(Middle)
C/O CONSTELLATION BRANDS, INC., 207 HIGH POINT DRIVE, BUILDING 100 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
EVP, Chief Growth&Strategy Off / |
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(Street)
VICTOR, NY 14564
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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 Beneficially Owned
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1.Title of Security
(Instr. 4) | 2. Amount of Securities Beneficially Owned
(Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) | 4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Class A Common Stock | 312 | D | |
| Class A Common Stock | 1 | I | By husband |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5) | 6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Non-Qualified Stock Option (right to buy) | 11/30/2017 (1) | 11/30/2026 | Class 1 (convertible) Common Stock | 942.0 | $151.14 | D | |
| Non-Qualified Stock Option (right to buy) | 4/21/2018 (1) | 4/21/2027 | Class 1 (convertible) Common Stock | 954.0 | $172.09 | D | |
| Non-Qualified Stock Option (right to buy) | 4/23/2019 (1) | 4/23/2028 | Class 1 (convertible) Common Stock | 1260.0 | $228.26 | D | |
| Non-Qualified Stock Option (right to buy) | 4/23/2020 (1) | 4/23/2029 | Class 1 (convertible) Common Stock | 2461.0 | $207.48 | D | |
| Restricted Stock Units | 5/1/2020 (2) | 5/1/2020 (2) | Class A Common Stock | 39.0 | (3) | D | |
| Restricted Stock Units | 5/1/2020 (4) | 5/1/2021 (4) | Class A Common Stock | 74.0 | (3) | D | |
| Restricted Stock Units | (5) | 5/1/2021 (5) | Class A Common Stock | 212.0 | (3) | D | |
| Restricted Stock Units | 5/1/2020 (6) | 5/1/2022 (6) | Class A Common Stock | 136.0 | (3) | D | |
| Restricted Stock Units | 5/1/2020 (7) | 5/1/2023 (7) | Class A Common Stock | 256.0 | (3) | D | |
| Explanation of Responses: |
| (1) | This option becomes exercisable at the rate of 25% per year beginning on the date specified. |
| (2) | These restricted stock units vest on the date specified. Vested shares will be delivered to the reporting person as of each vesting date net of shares withheld to satisfy taxes. |
| (3) | Each restricted stock unit represents a contingent right to receive one share of Constellation Brands, Inc. Class A Common Stock. |
| (4) | These restricted stock units vest in two equal annual installments beginning on the date specified. Vested shares will be delivered to the reporting person as of each vesting date net of shares withheld to satisfy taxes. |
| (5) | These restricted stock units vest as follows: one-third on May 1, 2020 and the remaining two-thirds on May 1, 2021. Vested shares will be delivered to the reporting person as of each vesting date net of shares withheld to satisfy taxes. |
| (6) | These restricted stock units vest in three equal annual installments beginning on the date specified. Vested shares will be delivered to the reporting person as of each vesting date net of shares withheld to satisfy taxes. |
| (7) | These restricted stock units vest in four equal annual installments beginning on the date specified. Vested shares will be delivered to the reporting person as of each vesting date net of shares withheld to satisfy taxes. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Monteiro Mallika
C/O CONSTELLATION BRANDS, INC.
207 HIGH POINT DRIVE, BUILDING 100
VICTOR, NY 14564 |
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| EVP, Chief Growth&Strategy Off |
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Signatures
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| /s/ Mallika Monteiro | | 10/10/2019 |
| **Signature of Reporting Person | Date |
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