Statement of Changes in Beneficial Ownership (4)
January 12 2021 - 5:28PM
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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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)
1/8/2021 |
(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 | 11/11/2020 | | G |
V
| 815 | D | $0 | 55717 (1) | D | |
Class A Common Stock | 1/8/2021 | | S | | 2269 | D | $229.2294 (2) | 18030 | I | By Spouse |
Class A Common Stock | 1/8/2021 | | S | | 1600 | D | $230.28 (3) | 16430 | I | By Spouse |
Class A Common Stock | 1/8/2021 | | S | | 1500 | D | $231.069 (4) | 14930 | I | By Spouse |
Class A Common Stock | 1/8/2021 | | S | | 700 | D | $231.9014 (5) | 14230 | I | By Spouse |
Class A Common Stock | | | | | | | | 599 | I | by Daughter |
Class A Common Stock | | | | | | | | 737 | I | As UTMA custodian for Son |
Class A Common Stock | | | | | | | | 373.928 | I | by Spouse as custodian for son under UTMA-1 (6) |
Class A Common Stock | | | | | | | | 373.928 | I | by Spouse as custodian for son under UTMA-2 (6) |
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 |
Explanation of Responses: |
(1) | Includes shares of Class A Common Stock acquired in July 2020 under the Constellation Brands, Inc. 1989 Employee Stock Purchase Plan. |
(2) | Represents the weighted average sale price. These shares were sold in multiple transactions at prices ranging from $228.6500 to $229.6400, inclusive. Upon request by the Commission staff, the issuer, or a security holder of the issuer, the reporting person will provide full information regarding the number of shares sold at each separate price. |
(3) | Represents the weighted average sale price. These shares were sold in multiple transactions at prices ranging from $229.6600 to $230.6400, inclusive. Upon request by the Commission staff, the issuer, or a security holder of the issuer, the reporting person will provide full information regarding the number of shares sold at each separate price. |
(4) | Represents the weighted average sale price. These shares were sold in multiple transactions at prices ranging from $230.6800 to $231.5900, inclusive. Upon request by the Commission staff, the issuer, or a security holder of the issuer, the reporting person will provide full information regarding the number of shares sold at each separate price. |
(5) | Represents the weighted average sale price. These shares were sold in multiple transactions at prices ranging from $231.7800 to $232.1600, inclusive. Upon request by the Commission staff, the issuer, or a security holder of the issuer, the reporting person will provide full information regarding the number of shares sold at each separate price. |
(6) | 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. |
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 | | 1/12/2021 |
**Signature of Reporting Person | Date |
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